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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 2018-05-30
AZ RA APPROVED 2018-04-05
  • TX RA
    APPROVED_RES
    Since 2018-05-30
  • AZ RA
    APPROVED
    Since 2018-04-05

Branch Locations

3430 East Sunrise Drive Suite 250, Tucson, AZ 85718-3237 • United States

Tucson, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 01/2016 04/2018
Rbc Capital Markets, Llc. Tucson AZ 04/2018 Present
City National Bank Tucson AZ 09/2018 Present
  • 01/2016 → 04/2018
    Axa Advisors, Llc
    New York, NY
  • 04/2018 → Present
    Tucson, AZ
  • 09/2018 → Present
    City National Bank
    Tucson, AZ
Previous Registrations
Other Businesses

(1) TRUSTEE FOR FATHERS TRUST SINCE10/15 (2) CASA DE LOS NINOS; ADDRESS: NOT PROVIDED; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT ORGANIZATION; CAPACITY: BOARD OF DIRECTORS; START DATE: 04/01/2019; DUTIES: VOLUNTEER BOARD OF DIRECTORS MEMBER. TO SPREAD AWARENESS TO THE ORGANIZATION AND DEVELOPMENT OF THE SAME; HOURS DEVOTED PER MONTH: LESS THAN 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; (3) NAME OF ENTITY: 3795 N Oracle Rd Tucson AZ 85705 ADDRESS: 3795 N Oracle Rd Tucson AZ 85705 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: This is a small commercial property meant to be leased as office space, not retail. CAPACITY: Owner - Passive START DATE: 9/6/2021 DUTIES: I will be a 50% owner of a rental property. Eventually the property will be rented and we will collect rents, as well as pay expenses. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: Ballet Tucson Board of Directors ADDRESS: 200 S Tucson Blvd, Tucson, AZ 85716 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Local arts organization, non-profit START DATE: 07.01.23 CAPACITY: Board of Directors * DUTIES: Advocacy for the ballet as well as strategic vision for the board and organization HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-09
  • S66 Uniform Combined State Law Examination
    2016-02-09

View on SEC IAPD

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