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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-09-13
  • CA RA
    APPROVED
    Since 2018-09-13

Branch Locations

345 California Street, San Francisco, CA 94104-2642 • United States

San Mateo, CA • 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
Tora Trading Services San Francisco CA 09/2012 08/2017
Rbc Capital Markets, Llc. San Francisco CA 05/2018 Present
Unemployed San Mateo CA 08/2017 05/2018
  • 09/2012 → 08/2017
    Tora Trading Services
    San Francisco, CA
  • 05/2018 → Present
    San Francisco, CA
  • 08/2017 → 05/2018
    Unemployed
    San Mateo, CA
Other Businesses

(1) 369 MACON PARTNERSHIP, NON-INVESTMENT RELATED, 369 MACON ST, BROOKLYN, NY, OWN AND LEASE RESIDENTIAL PROPERTY, OWNER-Active, 7/1/2010, .25 HOURS PER MONTH (NO HOURS DURING SECURITIES TRADING HOURS), Researching service providers, deciding on any major repairs, adding additional capital if needed to cover investment costs. (2) DELTA SAN FRANCISCO-PENINSULA FOUNDATION, NON-INVESTMENT RELATED, 204 E 2ND AVE #308, SAN MATEO, CA, CHARITABLE FOUNDATION, TREASURER OF THE BOARD OF DIRECTORS, BEGAN FEBRUARY 2014, 8-10 HOURS PER MONTH (1-2 HOURS DURING SECURITIES TRADING HOURS), MAINTAIN FINANCIAL RECORDS, CALCULATE INVESTMENT PERFORMANCE, RECOMMEND INVESTMENTS AND EXECUTE TRADES BOARD APPROVES IN FOUNDATION INVESTMENT ACCOUNTS. (3) DELTA SAN FRANCISCO-PENINSULA FOUNDATION; ADDRESS: 204 EAST 2ND AVENUE, #308, SAN MATEO,CA 94401; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: COLLEGE SCHOLARSHIPS AND COMMUNITY FINANCIAL LITERACY EDUCATION; CAPACITY: BOARD OF DIRECTORS; START DATE: 10/1/2018; DUTIES: OVERSIGHT, HELPING TO PLAN FINANCIAL LITERACY WORKSHOPS, GETTING DONATIONS FOR THE ORGANIZATION; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: <1. (4) NAME OF ENTITY: The Dahlia Schools of San Francisco ADDRESS: 1245 4th Street San Francisco CA 94158 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational Institution START DATE: Oct 31, 2025 CAPACITY: Board of Directors, Other DUTIES: Currently, I am not on the board but I have been asked to serve on the board and to join quickly. My other role is I am a parent at the school. My sons are in the preschool. My oldest will be eligible for elementary school next year. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-09-12
S63 Uniform Securities Agent State Law Examination 2012-11-09
  • S65 Uniform Investment Adviser Law Examination
    2018-09-12
  • S63 Uniform Securities Agent State Law Examination
    2012-11-09
Other Names
  • Farralon Crig Wilson

View on SEC IAPD

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