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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-31 |
| MD | RA | APPROVED | 2011-11-15 |
Branch Locations
15 S. Cranberry Road Suite B, Westminster, MD 21157-5339 • United States
Westminster, MD • 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 Corporation | Westminster | MD | 03/2009 | Present |
| City National Bank | Westminster | MD | 05/2019 | Present |
CARROLL COMMUNITY COLLEGE PLANNED GIVING COMMITTEE; ADDRESS: 1601 WASHINGTON ROAD, WESTMINSTER, MD 21157; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: COMMUNITY COLLEGE; CAPACITY: COMMITTEE/COUNCIL MEMBER (NOT ASSOCIATED WITH THE BOARD OF DIRECTORS); START DATE: 10/29/2018; DUTIES: ADVISE THE FOUNDATION ON WAYS TO SOLICIT RECURRING GIFTS; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-11-13 |
| S65 | Uniform Investment Adviser Law Examination | 1994-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-01 |
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