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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
NH RA APPROVED 2006-03-08
CT RA APPROVED 2005-12-01
  • TX RA
    APPROVED_RES
    Since 2017-03-30
  • NH RA
    APPROVED
    Since 2006-03-08
  • CT RA
    APPROVED
    Since 2005-12-01

Branch Locations

200 Glastonbury Blvd Suite 103, Glastonbury, CT 06033-4418 • United States

Glastonbury, CT • 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 Glastonbury CT 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Glastonbury, CT
Previous Registrations
  • 2003-03-07 → 2005-12-20
    Advest, Inc.
    Glastonbury, CT
  • 1999-03-19 → 2003-04-01
    Veravest Investment Advisors, Inc.
    Glastonbury, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-04-16
S63 Uniform Securities Agent State Law Examination 1996-03-01
  • S65 Uniform Investment Adviser Law Examination
    1996-04-16
  • S63 Uniform Securities Agent State Law Examination
    1996-03-01

View on SEC IAPD

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