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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-23 |
| ME | RA | APPROVED | 2009-04-17 |
Branch Locations
Two Portland Square 5Th Floor, Portland, ME 04101-4088 • United States
Cape Elizabeth, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Portland | ME | 04/2009 | Present |
BOARD MEMBER: PORTLAND PIRATES. BOARD MEMBER: WITH THE ATLANTIC PRO SPORTS. ST ALBANS EPISCOPAL CHURCH MEMBER OF FINANCE COMMITTEE SWIM ACROSS AMERICA CO-CHAIR FOR PORTLAND RACE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-19 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-16 |
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