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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 2014-07-16
WV RA APPROVED 2009-03-13
  • TX RA
    APPROVED_RES
    Since 2014-07-16
  • WV RA
    APPROVED
    Since 2009-03-13

Branch Locations

704 4Th Avenue, Huntington, WV 25701-1424 • United States

Huntington, WV • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets , Llc Huntington WV 03/2009 Present
City National Bank Huntington WV 04/2022 Present
Previous Registrations
  • 2006-06-05 → 2009-03-13
    Ferris, Baker Watts, Llc
    Huntington, WV
    Huntington, WV
Other Businesses

(1) DMC PROPERTIES, LLC; ADDRESS: MYRTLE BEACH, SC; BUSINESS DESCRIPTION: RENTAL PROPERTIES; NOT INVESTMENT RELATED: START DATE: SPRING 2010; CAPACITY: OWNER-PASSIVE; DUTIES: NONE: HOURS DEVOTED TO THIS OBA PER MONTH: NONE; HOURS DEVOTED DURING SECURITIES TRADING: NONE; (2) CUBAN INVESTMENTS; ADDRESS: PERSONAL ADDRESS; BUSINESS DESCRIPTION: RENTAL PROPERTY; NOT INVESTMENT RELATED; START DATE: 04/13/2018; CAPACITY: OWNER-ACTIVE; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-02
S63 Uniform Securities Agent State Law Examination 1994-01-25
  • S65 Uniform Investment Adviser Law Examination
    2006-06-02
  • S63 Uniform Securities Agent State Law Examination
    1994-01-25

View on SEC IAPD

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