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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 2023-01-12
FL RA APPROVED 2022-05-09
TX RA APPROVED 2022-04-29
  • VI RA
    APPROVED
    Since 2023-01-12
  • FL RA
    APPROVED
    Since 2022-05-09
  • TX RA
    APPROVED
    Since 2022-04-29

Branch Locations

5355 Town Center Road Suite 800, Boca Raton, FL 33486 • United States

Boynton Beach, FL • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Boca Raton FL 06/2009 04/2022
Morgan Stanley Private Bank, National Association New York NY 01/2015 04/2022
Rbc Capital Markets, Llc Boca Raton FL 04/2022 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 04/2022
City National Bank Boca Raton FL 06/2022 Present
  • 06/2009 → 04/2022
    Morgan Stanley Smith Barney
    Boca Raton, FL
  • 01/2015 → 04/2022
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 04/2022 → Present
    Boca Raton, FL
  • 01/2015 → 04/2022
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 06/2022 → Present
    City National Bank
    Boca Raton, FL
Previous Registrations
  • 2009-06-01 → 2022-05-05
    Boca Raton, FL
    W. Palm Beach, FL
    Boca Raton, FL
  • 2008-09-26 → 2009-06-01
    Morgan Stanley & Co. Llc
    Boca Raton, FL
  • 2004-01-05 → 2008-10-09
    Boca Raton, FL
    Boca Raton, FL
Other Businesses

1. Big Sky Real Estate Investments LLC; Investment related; Boynton Beach, FL; Real estate investments; Start date: 06/2011; During business hours: 0; After business hours: 0 2. NAME OF ENTITY: 50 East Main Street LLC ADDRESS: 9801 Equus Circle Boynton Beach FL 33472 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: buying my mother in laws house CAPACITY: Owner - Passive START DATE: 08/07/23 DUTIES: pay the expenses for my mother in law not to be forced from her home HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: Saint John Paul II Academy ADDRESS: 4001 N Military Tr., Boca Raton, FL 33431 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: High School START DATE: 11.05.24 CAPACITY: Finance committee member DUTIES: help with annual budget HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-12-22
S63 Uniform Securities Agent State Law Examination 1990-08-02
  • S65 Uniform Investment Adviser Law Examination
    2003-12-22
  • S63 Uniform Securities Agent State Law Examination
    1990-08-02

View on SEC IAPD

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