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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2023-10-13
PA RA APPROVED 2023-10-12
TX RA APPROVED 2023-10-12
  • VI RA
    APPROVED
    Since 2023-10-13
  • PA RA
    APPROVED
    Since 2023-10-12
  • TX RA
    APPROVED
    Since 2023-10-12

Branch Locations

130 N. 18Th Street One Logan Square, 17Th Floor, Philadelphia, PA 19103-6933 • United States

Philadelphia, PA • 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
Morgan Stanley Smith Barney Llc Philadelphia PA 02/2019 10/2023
Gw&K Investment Management Boston MA 06/2014 01/2019
Morgan Stanley Private Bank, N.A. New York NY 03/2019 10/2023
Rbc Capital Markets, Llc Philadelphia PA 10/2023 Present
Morgan Stanley Private Bank, N.A New York NY 03/2019 10/2023
  • 02/2019 → 10/2023
    Morgan Stanley Smith Barney Llc
    Philadelphia, PA
  • 06/2014 → 01/2019
    Gw&K Investment Management
    Boston, MA
  • 03/2019 → 10/2023
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 10/2023 → Present
    Philadelphia, PA
  • 03/2019 → 10/2023
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2019-08-26 → 2023-10-17
    Philadelphia, PA
    West Conshohocken, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-24
  • S66 Uniform Combined State Law Examination
    2019-08-24

View on SEC IAPD

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