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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-30 |
| ME | RA | APPROVED | 2002-11-18 |
Branch Locations
Two Portland Square 5Th Floor, Portland, ME 04101-4088 • United States
Cumberland Foreside, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Portland | ME | 03/2008 | Present |
| City National Bank | Portland | ME | 07/2020 | 01/2025 |
(1) NAME OF BUSINESS: LITTLE ISLAND MOTEL LLC; ENTITY ADDRESS: FREEPORT MAINE; BUSINESS DESCRIPTION: REAL ESTATE; START DATE: 06/05/13; END DATE: perpetual; POSITION, TITLE OR RELATIONSHIP OF BUSINESS: OWNER-PASSIVE; APPROXIMATE HOURS PER MONTH: 4; HOURS DEVOTED DURING TRADING HOURS: 4; DUTIES: PASSIVE INVESTOR. (2) NAME OF ENTITY: XL Thunder/Maine Firecrackers ADDRESS: 400 North ST Saco Me 04072 NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: Youth Basketball Organization CAPACITY: Independent Contractor/Consultant START DATE: 04/01/2021 DUTIES: Coaching clinics and assisting with recruiting for college coaches HOURS DEVOTED PER MONTH: 02 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE (3) NAME OF ENTITY: The Root Cellar ADDRESS: 94 Washington Ave, Portland, Maine 04101 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Non-profit that provides food, clothing and care for immigrants CAPACITY: Other - It is an Advisory Board, not the Board of Directors START DATE: 1/03/22 DUTIES: Sit on Advisory Board to assess current building and potential move or renovation HOURS DEVOTED PER MONTH: .25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Maine Basketball Hall of Fame ADDRESS: 525 Main Street Bangor Maine 04401 Bangor 04110 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Oct 31, 2025 CAPACITY: Board of Directors DUTIES: Board of Directors - voting for candidates and meeting quarterly HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 1990-06-22 |
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