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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-30 |
| WA | RA | APPROVED | 1994-07-05 |
Branch Locations
3760 Carillon Point, Kirkland, WA 98033-7455 • United States
Kirkland, WA • 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 | Seattle | WA | 03/2008 | Present |
RENTAL HOME ONGOING. OWNER-ACTIVE. CHOSE RENTER AND COLLECT RENT AND AUTHORIZE MAINTENANCE AS REQUIRED. DEVOTE 5 HRS PER MONTH. (1) Name of business: Crescent Ridge HOA Business Description: 8510 NE 128th St, Kirkland, WA 98034 Whether the business is investment-related: no Address: 8510 NE 128th St, Kirkland, WA 98034 Capacity: Officer Start Date: 06/01/18 Duties: Review expenditures, handle concerns and complaints, enforce HOA terms and conditions. Hours devoted per month: 0.5 Hours devoted during securities hours per month: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-18 |
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