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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-02-05 |
| CT | RA | APPROVED | 2005-12-20 |
Branch Locations
200 Glastonbury Blvd Suite 103, Glastonbury, CT 06033-4418 • United States
Bloomfield, CT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Glastonbury | CT | 03/2008 | Present |
Name of Entity: Asylum Hill Congregational Church Address: 814 Asylum Ave. Hartford, CT 06105 Investment/Not Investment Related (Yes or No): No Business Description: Church Capacity: Committee/Council Member (not associated with the Board of Directors) State Date: 05/06/2022 Duties: Quarterly meetings of the investment committee consist of reviewing performance reports, rationales, and future directions prepared and proposed by the fiduciaries. Hours Devoted per month: .25 hours per week = 3 hours per quarter Hours Devoted during securities hours per month: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-11 |
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