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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-07 |
| NC | RA | APPROVED | 2002-10-18 |
Branch Locations
505 E. Spence Avenue, Goldsboro, NC 27534-4292 • United States
Greenville, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Wilmington | NC | 03/2008 | Present |
(1) WRIGHTSVILLE WEST INC; ADDRESS: 2029 EASTWOOD RD WILMINGTON, NC 28405; BUSINESS DESCRIPTION: HOMEOWNERS ASSOCIATION; NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 01/01/2014; CAPACITY: BOARD OF DIRECTORS; DUTIES: SERVE AS SECRETARY, ONE MEETING PER QUARTER, ASSIST IN CONDUCTING NORMAL AFFAIRS OF HOMEOWNERS ASSOCIATION; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) KAIROS PRISON MINISTRY INTERNATIONAL, INC.; ADDRESS: 100 DeBARY PLANTATION BLVD., DeBARY, FL 32713; BUSINESS DESCRIPTION: NOT FOR PROFIT MINISTRY; NOT INVESTMENT RELATED; START DATE: 01/01/2018; CAPACITY: COMMITTEE/COUNCIL MEMBER; DUTIES: FUNDRAISING CHAIR; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE (3) Name of Entity - St James United Methodist Church Missions Committee Address - 2000 E. 6th Street Greenville, NC 27858 Business Description - Missions Committee for church Projected Start Date: 06/23/2019 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: II am the Chairman of the Missions Committee -we will meet for about an hour every other month help direct the church's outreach and missions efforts Hours Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 (4) Name of Entity - Vidant Cancer Care Campaign - Vidant Health Foundation Address - 690 Medical Drive Greenville, NC 27834 Business Description - Help Vidant Hospital raise funds for Cancer Center Projected Start Date: 06/02/2014 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: Help committee identify potential givers - committee has met only once in the 5 or so years I have been involved (which is why I forgot to even disclose). Hours Devoted to this OBA per Month: 0-1 Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-03 |
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