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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-02-05 |
| AZ | RA | APPROVED | 2010-03-01 |
Branch Locations
2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467 • United States
Phoenix, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets | Peoria | AZ | 10/2009 | 01/2022 |
| Rbc Capital Markets, Llc | Phoenix | AZ | 01/2022 | Present |
1) NAME OF ENTITY: Benavilla ADDRESS: 16752 N Greasewood Street Surprise AZ 85378 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: non-profit community center CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 11/15/2023 DUTIES: Review budget, balance sheets, and investments of the Foundation HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 2) NAME OF ENTITY: Forest Highlands Golf Club ADDRESS: 2425 William Palmer, Flagstaff, AZ 86005 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Jan 02, 2025 CAPACITY: Committee/Council Member DUTIES: Strategic Planning Committee member, meeting quarterly to create and review strategic plans for the community. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 2001-12-13 |
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