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Gina Thompson

Rbc Capital Markets, LLC

New York, NY

Port Washington, NY

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-01-14
  • NY RA
    APPROVED
    Since 2022-01-14

Branch Locations

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States

Port Washington, 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
Ubs Financial Services New York NY 07/2005 01/2022
Rbc Capital Markets, Llc New York NY 01/2022 Present
City National Bank New York NY 03/2022 01/2025
  • 07/2005 → 01/2022
    Ubs Financial Services
    New York, NY
  • 01/2022 → Present
    Rbc Capital Markets, Llc
    New York, NY
  • 03/2022 → 01/2025
    City National Bank
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-07
S63 Uniform Securities Agent State Law Examination 2003-12-19
  • S66 Uniform Combined State Law Examination
    2015-10-07
  • S63 Uniform Securities Agent State Law Examination
    2003-12-19

View on SEC IAPD

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