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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-09-26 |
| VA | RA | APPROVED | 2002-05-01 |
Branch Locations
919 East Main Street Suite 2000, Richmond, VA 23219-4622 • United States
Richmond, VA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Richmond | VA | 03/2008 | Present |
| City National Bank | Richmond | VA | 06/2020 | 01/2025 |
(1) MT CALVARY CEMETERY ASSOCIATION; ADDRESS: 400 RANDOLPH STREET RICHMOND, VA 23221; BUSINESS DESCRIPTION: CEMETERY BOARD; NOT INVESTMENT RELATED; START DATE: 09/01/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: BOARD MEETINGS; HOURS DEVOTED PER WEEK: 1.25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) UNIVERSITY OF RICHMOND ESTATE PLANNING ADVISORY CO; ADDRESS: COLLEGE DRIVE RICHMOND, VA 23229; BUSINESS DESCRIPTION: HIGHER EDUCATION; NOT INVESTMENT RELATED; START DATE: 09/01/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: STANDARD OVERSIGHT & GUIDANCE; HOURS DEVOTED PER WEEK: 1.25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) NAME OF ENTITY: TRINITY UMC FOUNDATION; ADDRESS: 903 FOREST AVENUE RICHMOND, VA 23229; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT CHURCH; CAPACITY: PRESIDENT OF BOARD OF DIRECTORS, START DATE: 10/2019; DUTIES: BOARD MEETINGS, RECEIVE FUNDING REQUEST; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (4) NAME: Foxcroft School Non-Investment Related ADDRESS: 22407 Foxhound Lane Middleburg, VA 20117 Nature of OBA: Private school Position/Title/Relationship: Parents' Association Treasurer Time Devoted: 1 hour per week; 1 hour during securities trading DUTIES: Help the staff come up with ideas to organize activities for students and staff.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-13 |
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