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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-02-26 |
| TX | RA | APPROVED_RES | 2017-03-30 |
| NJ | RA | APPROVED | 2002-11-01 |
Branch Locations
200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States
The Villages, FL • United States
Long Branch, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Llc | Florham Park | NJ | 03/2008 | Present |
| City National Bank | Florham Park | NJ | 10/2016 | Present |
(1) I OWN 2 RENTAL INCOME PROPERTIES. HILLEN HEAD ISLAND VILLA 40 FOLLEY FIELD ROAD HILLED HEAND ISLAND, SC I AM A PASSIVE OWNER OF A SUMMER RENTAL CONDO. I STARTED THIS ENDEAVOR 3/03 AND THERE IS NO PROJECTED END DATE AT THIS TIME. I WORK ZERO HOURS PER MONTH ON THIS ACTIVITY. (2) I AM A PASSIVE OWNER TO MORIBEHS VENDING. 491 HERRICH DRIVE, DOVER NJ 07801. I HELP REFILL PRODUCT AND SERVICE ROUTE. I WORK THREE HOURS A MONTH ON THIS ENDEAVOR, ZERO OF WHICH ARE DURING SECURITIE TRADING HOURS. I STARTED THIS PROJECT ON SEPTEMBER, 04 AND THERE IS NO PROJECTED END DATE AT THIS TIME. (3) NAME OF ENTITY: Knights of Columbus ADDRESS: 514 PO Box 544 Dover, NJ 07802-0544 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Charitable Organization CAPACITY: Treasurer START DATE: 11/15/21 DUTIES: Responsibilities as Treasurer of the Knight of Columbus Council 514 - Wharton NJ. My role is to pay all bills that are incurred by the Council through our Knights checking account. Pay through the checking account all donations made by the council. Maintain our ledger on an excel spreadsheet for all cash inflows and outflows. Report to the council bi-weekly our activity and balances. Monitor and report on our online banking account with Santander Bank. Participate in an annual audit of the Council Finances along with the Financial Secretary. I do not have control in any spending or investment decisions. I have no discretion on council assets whatsoever. My role is simply in an "accounting" function. All assets are held in bank savings and checking. There is no plan or desire to invest any of the funds in any securities at this time. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) Name of Entity: 111 Packanack Lake Road LLC Address: 5 Miller Drive Boonton New Jersey 07005 Investment/Not Investment Related: No Business Description: Partnership Start Date: Jul 11, 2025 Capacity: Other Duties: My sister, myself, and a friend who is a builder are buying a fixer upper home to flip. We do not anticipate being an LLC beyond the sale of the home. The home is hopefully going to be renovated and sold within 3 to 4 months from July 11. Hours Devoted Per Month: 0 - 4 Hours Hours Devoted During Securities Hours Per Month: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-26 |
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