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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-08-29
WA RA APPROVED 2000-01-02
  • TX RA
    APPROVED_RES
    Since 2013-08-29
  • WA RA
    APPROVED
    Since 2000-01-02

Branch Locations

3760 Carillon Point, Kirkland, WA 98033-7455 • United States

Medina, WA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Kirkland WA 03/2008 Present
City National Bank Kirkland WA 02/2018 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-24
S63 Uniform Securities Agent State Law Examination 1994-01-28
  • S65 Uniform Investment Adviser Law Examination
    1995-01-24
  • S63 Uniform Securities Agent State Law Examination
    1994-01-28

View on SEC IAPD

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