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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-09-01
NY RA APPROVED 2021-07-20
  • TX RA
    APPROVED_RES
    Since 2021-09-01
  • NY RA
    APPROVED
    Since 2021-07-20

Branch Locations

19485 Us Route 11, Watertown, NY 13601 • United States

Watertown, NY • 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
Hightower Securities, Llc Watertown NY 05/2015 07/2019
Hightower Advisors, Llc Watertown NY 05/2015 07/2019
Family Medicine Of Nny Watertown NY 10/2014 07/2021
Rbc Capital Markets, Llc Watertown NY 07/2021 Present
City National Bank Watertown NY 02/2022 Present
  • 05/2015 → 07/2019
    Hightower Securities, Llc
    Watertown, NY
  • 05/2015 → 07/2019
    Watertown, NY
  • 10/2014 → 07/2021
    Family Medicine Of Nny
    Watertown, NY
  • 07/2021 → Present
    Watertown, NY
  • 02/2022 → Present
    City National Bank
    Watertown, NY
Previous Registrations
  • 2015-05-27 → 2019-07-11
    Watertown, NY
  • 2013-10-07 → 2014-11-03
    Invest Financial Corporation
    Appleton, WI
    Lowville, NY
    Gouverneur, NY
    Carthage, NY
    Watertown, NY
    Watertown, NY
    Adams, NY
    Evans Mill, NY
  • 2011-03-25 → 2012-10-30
    Carthage, NY
    San Diego, CA
    Carthage, NY
  • 2008-04-09 → 2010-12-31
    Biddeford, ME
    St Louis, MO
    Homer, NY
Other Businesses

OPERATIONS DIRECTOR, FAMILY MEDICINE NNY NAME OF ENTITY: Family Medicine of Northern New York ADDRESS: 20053 Summit View Blvd. Watertown NY 13601 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Medical Practice CAPACITY: Employee START DATE: 8/01/14 DUTIES: Payroll processing, interactions with banks and legal entities who represent the organization. HOURS DEVOTED PER MONTH: 5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-29
  • S66 Uniform Combined State Law Examination
    2008-02-29
Other Names
  • Anthony Surber

View on SEC IAPD

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