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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2015-05-04
TX RA APPROVED 2015-04-30
  • WA RA
    APPROVED
    Since 2015-05-04
  • TX RA
    APPROVED
    Since 2015-04-30

Branch Locations

401 Union Street Suite 3600, Seattle, WA 98101 • United States

Ellensburg, WA • 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
Rbc Capital Markets, Llc Seattle WA 04/2015 Present
City National Bank Seattle WA 03/2019 01/2023
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: 2211 BENJAMIN. ADDRESS OF BUSINESS: 2211 BENJAMIN AVE, KALAMAZOO, MI 49008. BUSINESS DESCRIPTIONS: RENTAL. BUSINESS IS/IS NOT INVESTMENT RELATED: NO. PROJECTED START DATE: - 06/24/16. PROJECTED END DATE: - 06/27/18. CAPACITY: OWNER. DUTIES PERFORMED: OWNER OF RENTAL HOME. HOURS DEVOTED TO THIS OBA PER MONTH: 01. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: 00. (2) NAME OF ENTITY: COYOTE CREEK RANCH. ADDRESS OF BUSINESS: 4290 BADGER POCKET RD, ELLENSBURG WA, 98926. BUSINESS DESCRIPTIONS: LEASE FARM GROUND. BUSINESS IS/IS NOT INVESTMENT RELATED: NO. PROJECTED START DATE: - 04/19/16. CAPACITY: SOLE PROP. DUTIES PERFORMED: GENERAL OVERSIGHT HOURS DEVOTED TO THIS OBA PER MONTH: 00 HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: 00. (3) KENNEDY CATHOLIC HIGH SCHOOL; ADDRESS: 140 S. 140TH, BURIEN, WA 98168; BUSINESS DESCRIPTION: BASEBALL COACH; NOT INVESTMENT RELATED; START DATE: 06/20/2017; CAPACITY: BASEBALL COACH; DUTIES: VARSITY COACH; HOURS DEVOTED PER WEEK: 12; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (4) NAME OF ENTITY: the gym ADDRESS: 427 n main st ellensburg wa 98926 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: weight lifting gym CAPACITY: Owner - Passive START DATE: 05/01/2024 DUTIES: this is a small local gym that essentially runs itself. My duties initially, will be to add some new equipment and paint. after that it runs itself w key fobs so I will have very little active involvement. HOURS DEVOTED PER MONTH: 5-8 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-23
S63 Uniform Securities Agent State Law Examination 1991-09-27
  • S65 Uniform Investment Adviser Law Examination
    1996-12-23
  • S63 Uniform Securities Agent State Law Examination
    1991-09-27

View on SEC IAPD

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