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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2009-06-11
  • PA RA
    APPROVED
    Since 2009-06-11

Branch Locations

Renaissance Place 635 North 12Th Street, 2Nd Floor, Lemoyne, PA 17043-1225 • United States

Hummelstown, PA • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Lemoyne PA 06/2009 Present
City National Bank Lemoyne PA 09/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-05-24
S63 Uniform Securities Agent State Law Examination 1994-04-29
  • S65 Uniform Investment Adviser Law Examination
    2007-05-24
  • S63 Uniform Securities Agent State Law Examination
    1994-04-29

View on SEC IAPD

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