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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-03-04 |
| CT | RA | APPROVED | 2002-03-11 |
Branch Locations
200 Glastonbury Blvd Suite 103, Glastonbury, CT 06033-4418 • United States
Hebron, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Glastonbury | CT | 03/2008 | Present |
(1) NAME OF ENTITY: Eastern Connecticut State University ADDRESS: 83 Windham Street Willimantic CT 06226 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational Institution START DATE: Jan 21, 2026 CAPACITY: Other DUTIES: Assist three students with an independent study paper required to graduate in May 2026. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: Seaglass Village Condominium Association ADDRESS: 1 County Road Wells, Maine 04090 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Seasonal Cottages CAPACITY: Other START DATE: 10/22/21 DUTIES: Organize Financial statements for board of Directors. No decision making or signing authority involved. No compensation. Unelected position. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-03 |
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