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Rory Michael Banks

Rbc Capital Markets, LLC

Newtown, PA

Mount Laurel, NJ

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2026-06-03
NJ RA APPROVED 2026-04-29
PA RA APPROVED 2026-04-29
TX RA APPROVED 2026-04-29
  • VI RA
    APPROVED
    Since 2026-06-03
  • NJ RA
    APPROVED
    Since 2026-04-29
  • PA RA
    APPROVED
    Since 2026-04-29
  • TX RA
    APPROVED
    Since 2026-04-29

Branch Locations

Newtown, PA • United States

3000 Atrium Way Suite 500, Mount Laurel, NJ 08054-3914 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc New York NY 09/2009 07/2017
Ubs Financial Services Inc. Mt. Laurel NJ 06/2018 04/2026
Unemployed Brooklyn NY 07/2017 06/2018
Rbc Capital Markets, Llc Mount Laurel NJ 04/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-27
S63 Uniform Securities Agent State Law Examination 2013-07-22
  • S66 Uniform Combined State Law Examination
    2018-07-27
  • S63 Uniform Securities Agent State Law Examination
    2013-07-22
Other Names
  • Rory Banks
  • Rory Michael Banks

View on SEC IAPD

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