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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 2010-02-08
DE RA APPROVED 1998-08-18
  • TX RA
    APPROVED_RES
    Since 2010-02-08
  • DE RA
    APPROVED
    Since 1998-08-18

Branch Locations

1013 Centre Road Suite 400, Wilmington, DE 19805-1265 • United States

Wilmington, DE • 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 Corporation Wilmington DE 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Wilmington, DE
Other Businesses

(1) WILMINGTON ECONOMIC AND FINANCIAL ADVISORY COUNCIL; ADDRESS: 800 FRENCH STREET, WILMINGTON, DE 19801; BUSINESS DESCRIPTION: CITY GOVERNMENT ADVISORY BOARD; NOT INVESTMENT RELATED; START DATE: 01/01/2018; CAPACITY: BOARD OF DIRECTORS; DUTIES: ADVISORY; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: <1

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-06
S63 Uniform Securities Agent State Law Examination 1990-12-13
  • S65 Uniform Investment Adviser Law Examination
    1997-03-06
  • S63 Uniform Securities Agent State Law Examination
    1990-12-13

View on SEC IAPD

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