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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-09-23 |
| NC | RA | APPROVED | 2002-10-18 |
Branch Locations
139 E. Pennsylvania Avenue Unit A-1, Southern Pines, NC 28387-6157 • United States
Southern Pines, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Southern Pines | NC | 03/2008 | Present |
| City National Bank | Southern Pines | NC | 03/2019 | 12/2022 |
1) SOUTHERN PINES BUSINESS ASSOCIATION; ADDRESS: PO BOX 1604 SOUTHERN PINES, NC 28388; BUSINESS DESCRIPTION: BUSINESS ASSOCIATION; NOT INVESTMENT RELATED; START DATE: 01/14/2013; CAPACITY: BOARD OF DIRECTORS, TREASURER; DUTIES: REPORTING TO THE BOARD ON MONTHLY SPENDING AND INCOME; HOURS DEVOTED PER WEEK: 1.5; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 2) NAME OF ENTITY: Rose Lake LLC ADDRESS: 139 E. Pennsylvania Avenue, Southern Pines, North Carolina, 28387-6157 INVESTMENT/NOT INVESTMENT RELATED: Yes, FA is the sole owner of the LLC which has opened an investment account at RBC WM, as well as the FA of record. He will make decisions on the investments to be held in the account. BUSINESS DESCRIPTION: Private Company START DATE: Mar 15, 2024 CAPACITY: Owner DUTIES: Owner of a rental office property HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-05 |
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