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Rosa A Mazzone

Rbc Capital Markets, LLC

Paramus, NJ

Saddle Brook, NJ

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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 2017-04-29
NJ RA APPROVED 2017-04-24
  • TX RA
    APPROVED
    Since 2017-04-29
  • NJ RA
    APPROVED
    Since 2017-04-24

Branch Locations

650 From Road Suite 225, Paramus, NJ 07652-3517 • United States

Saddle Brook, NJ • 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
Ubs Financial Services Inc New York NY 01/2009 04/2017
Rbc Capital Markets Llc New York NY 04/2017 10/2017
Rbc Capital Markets, Llc Paramus NJ 10/2017 Present
City National Bank Paramus NJ 03/2018 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-06-17
  • S63 Uniform Securities Agent State Law Examination
    1994-06-17
Designations
Other Names
  • Rosa Mazzone

View on SEC IAPD

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