Michael J Occhiuto

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-06
CT	RA	APPROVED	2019-09-16
VI	RA	APPROVED	2016-07-11
TX	RA	APPROVED	2016-02-01

NY RA
APPROVED

Since 2021-08-06
CT RA
APPROVED

Since 2019-09-16
VI RA
APPROVED

Since 2016-07-11
TX RA
APPROVED

Since 2016-02-01

Branch Locations

1 Landmark Square 12Th Floor, Stamford, CT 06901-2502 • United States

Nantucket, MA • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	New York	NY	02/2016	Present
City National Bank	New York	NY	10/2016	Present

02/2016 → Present

Rbc Capital Markets, Llc

New York, NY
10/2016 → Present

City National Bank

New York, NY

Previous Registrations

2015-03-16 → 2016-02-12

Leucadia Asset Management Llc

New York, NY
2006-12-20 → 2015-04-01

Credit Suisse Securities (Usa) Llc

New York, NY

New York, NY

Other Businesses

1) Name: Ackside Down LLC Address: 18 garden Road Pelham, NY 10804 Business Description: Vacation home holding entity Business is not investment related Projected Start Date: 12/11/20 Capacity: Owner - Active Duties Performed: Paying the mortgage and maintaining the property held in the LLC Devoted to this OBA per Month: 2 hours Hours Devoted to this OBA during business hours: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-12-18
S63	Uniform Securities Agent State Law Examination	2005-12-22

S65 Uniform Investment Adviser Law Examination

2006-12-18
S63 Uniform Securities Agent State Law Examination

2005-12-22

View on SEC IAPD