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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 1998-11-18 |
Branch Locations
3760 Carillon Point, Kirkland, WA 98033-7455 • United States
Seattle, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Seattle | WA | 03/2008 | Present |
THE HEARLD; DAILY NEWSPAPER; START 1996 ONGOING; SMALL, PRIVATE; NOT INVESTMENT RELATED; CAPACITY-WRITE INVESTMENT ARTICLE TWICE A MONTH; DUTIES-SUBMIT INVESTMENT ARTICLE TO NEWSPAPER EVERY OTHER WEEK. BEEN DOING THIS SINCE 1996 WHILE AT PIPER JAFFRAY. ARTICLES USED ARE THE RBC DAIN PRE-APPROVED ARTICLES.; $50 PER ARTICLE; 1 HOUR PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1991-11-05 |
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