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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-09-13 |
Branch Locations
345 California Street, San Francisco, CA 94104-2642 • United States
San Mateo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2012-11-09 |
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