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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-05-10
TX RA APPROVED_RES 2024-05-10
  • MD RA
    APPROVED
    Since 2024-05-10
  • TX RA
    APPROVED_RES
    Since 2024-05-10

Branch Locations

Bel Air, MD • United States

128 N Bond St Suite 501, Bel Air, MD 21014 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Bel Air MD 04/2002 05/2024
Bank Of America,N.A. Bel Air MD 06/2011 05/2024
Rbc Capital Markets, Llc Bel Air MD 05/2024 Present
  • 04/2002 → 05/2024
    Merrill Lynch
    Bel Air, MD
  • 06/2011 → 05/2024
    Bank Of America,N.A.
    Bel Air, MD
  • 05/2024 → Present
    Bel Air, MD
Previous Registrations
Other Businesses

(1) I*45863 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COMMUNITY FOUNDATION OF HARFORD COUNTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 124 NORTH MAIN STREET, BEL AIR, MARYLAND 21014 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 10/7/2011 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: BOARD MEMBER. ALSO, MEMBER OF THE INVESTMENT SUB-COMMITTEE. (2) NAME OF ENTITY: Greater Harford Committee ADDRESS: 25 W. Courtland St., Bel Air, MD 21014 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Trade Association START DATE: 01/04/2014 CAPACITY: Officer DUTIES: I am Chairman of the Greater Harford Committee. This is a group of about 50 business people formed to be a voice of the business community in Harford County, MD and to work with local elected officials. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (3) NAME OF ENTITY: Greater Bel Air Community Foundation ADDRESS: P.O. Box 412 Bel Air Maryland 21014 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01/07/2010 CAPACITY: Board of Directors DUTIES: Board member of a community foundation in my town and office's town. Raise money and vote on granting to other non-profits. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (4) NAME OF ENTITY: University Of Maryland Upper Chesapeake Health System, Inc. ADDRESS: 500 Upper Chesapeake Drive Bel Air MD 21014 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Sep 03, 2026 CAPACITY: Board of Directors DUTIES: Board Member for their Foundation. Fundraising. HOURS DEVOTED PER MONTH: not sure HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: not sure

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-14
S63 Uniform Securities Agent State Law Examination 1993-07-07
  • S65 Uniform Investment Adviser Law Examination
    1993-07-14
  • S63 Uniform Securities Agent State Law Examination
    1993-07-07
Designations
Other Names
  • Patrick Pollard
  • Patrick Alan Pollard

View on SEC IAPD

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