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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2010-05-21 |
Branch Locations
1013 Centre Road Suite 400, Wilmington, DE 19805-1265 • United States
Wilmington, DE • 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 | Wilmington | DE | 05/2010 | Present |
(1) WINDROSE COMPANY LLC; ADDRESS: PO BOX 261, MONTCHANIN, DELAWARE 19710; BUSINESS DESCRIPTION: REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 06/01/2008; CAPACITY: OFFICER/PARTNER; DUTIES: MANAGER OF REAL ESTATE; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) WELFARE FOUNDATION; ADDRESS: WILMINGTON, DE; BUSINESS DESCRIPTION: PRIVATE FOUNDATION; NOT INVESTMENT RELATED; START DATE: 06/01/2006; CAPACITY: TRUSTEE; DUTIES: TRUSTEE-GRANT OVERSIGHT; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 1 (3) FIRST STATE SQUASH; ADDRESS: 501 W. 11TH STREET WILMINGTON, DE 19801; BUSINESS DESCRIPTION: URBAN SQAUSH PROGRAM; NOT INVESTMENT RELATED; START DATE: 07/01/2016; CAPACITY: BOARD OF DIRECTORS; DUTIES: HELP WITH STRATEGIC PLAN; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (4) QUEBEC LABRADOR FOUNDATION; ADDRESS: S. MAIN ST. IPSWICH, MA; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: CONSERVATION NON-PROFIT; CAPACITY: COMMITTEE/COUNCIL MEMBER (NOT ASSOCIATED WITH THE BOARD OF DIRECTORS); START DATE: 01/01/2019; DUTIES: MENTORING ALUMNUS; HOURS DEVOTED PER MONTH: 0-2 HOURS A YEAR; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; 5) NAME OF ENTITY: Route 40 Holdings Inc ADDRESS: pob 4300 wilmington, DE 19807 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: private family commercial real estate holding- shopping center CAPACITY: Officer START DATE: 9.1.08 DUTIES: sign a tax return or any legal document if when needed HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-02-01 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-01 |
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