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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-02-19 |
| RI | RA | APPROVED | 2008-09-12 |
Branch Locations
500 Exchange Street Suite 1102, Providence, RI 02903-2637 • United States
Providence, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Providence | RI | 09/2008 | Present |
1) NAME OF ENTITY: River Walk Condo Association ADDRESS: 43-47 Transit St providence RI 02903 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Condo association CAPACITY: Treasurer START DATE: 04/04/22 DUTIES: collect monthly condo fee checks and disburse funds HOURS DEVOTED PER MONTH: .5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 2) NAME OF ENTITY: Newport On Shore Marina ADDRESS: 375 Thames ST., Unit 5, Newport, RI 02840 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Marina Condo Association START DATE: 11.30.24 CAPACITY: Board of Directors DUTIES: Sitting on the board of directors - Assisting in decision making regarding the marina HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-10 |
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