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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-02-05 |
| NC | RA | APPROVED | 2010-12-22 |
| VA | RA | APPROVED | 2010-07-15 |
Branch Locations
919 East Main Street Suite 2000, Richmond, VA 23219-4622 • United States
4051 Capital Drive, Rocky Mount, NC 27804-3655 • United States
Richmond, VA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Richmond | VA | 07/2010 | Present |
(1) FINRA; WASHINGTON DC; ABRITRATOR - DISPUTE RESOLUTION; 06/10/14 TO 06/14/18; INDEPENDENT CONTRACTOR; ARBITRATE FINRA DISPUTES; 0 HOURS DEVOTED TO ACTIVITY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-12 |
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