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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-03-30
ME RA APPROVED 2002-11-18
  • TX RA
    APPROVED_RES
    Since 2017-03-30
  • ME RA
    APPROVED
    Since 2002-11-18

Branch Locations

Two Portland Square 5Th Floor, Portland, ME 04101-4088 • United States

Cumberland Foreside, ME • 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
Rbc Capital Markets, Llc Portland ME 03/2008 Present
City National Bank Portland ME 07/2020 01/2025
Other Businesses

(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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-22
S63 Uniform Securities Agent State Law Examination 1990-06-22
  • S65 Uniform Investment Adviser Law Examination
    1994-03-22
  • S63 Uniform Securities Agent State Law Examination
    1990-06-22

View on SEC IAPD

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