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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2010-05-21
  • DE RA
    APPROVED
    Since 2010-05-21

Branch Locations

1013 Centre Road Suite 400, Wilmington, DE 19805-1265 • United States

Wilmington, DE • 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
Rbc Capital Markets, Llc Wilmington DE 05/2010 Present
Previous Registrations
Other Businesses

(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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-01
S63 Uniform Securities Agent State Law Examination 1993-11-01
  • S65 Uniform Investment Adviser Law Examination
    1994-02-01
  • S63 Uniform Securities Agent State Law Examination
    1993-11-01
Other Names
  • Bob Bolling

View on SEC IAPD

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