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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2024-01-05
CA RA APPROVED 2005-10-11
  • NH RA
    APPROVED
    Since 2024-01-05
  • CA RA
    APPROVED
    Since 2005-10-11

Branch Locations

57 River Street Suite 102, Wellesley Hills, MA 02481-2050 • United States

Belmont, MA • 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, Llc Wellesley Hills MA 03/2008 Present
City National Bank Wellesley Hills MA 06/2018 08/2021
  • 03/2008 → Present
    Wellesley Hills, MA
  • 06/2018 → 08/2021
    City National Bank
    Wellesley Hills, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-19
S63 Uniform Securities Agent State Law Examination 1992-06-08
  • S65 Uniform Investment Adviser Law Examination
    1995-12-19
  • S63 Uniform Securities Agent State Law Examination
    1992-06-08

View on SEC IAPD

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