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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_RES 2015-02-05
MD RA APPROVED 2009-04-28
  • TX RA
    APPROVED_RES
    Since 2015-02-05
  • MD RA
    APPROVED
    Since 2009-04-28

Branch Locations

225 Schilling Circle Suite 250, Hunt Valley, MD 21031-1125 • United States

Phoenix, MD • 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
Rbc Capital Markets, Llc Hunt Valley MD 04/2009 Present
City National Bank Hunt Valley MD 03/2019 Present
Previous Registrations
  • 2006-02-21 → 2009-05-15
    Baltimore, MD
    New York, NY
    Baltimore, MD
  • 1996-03-07 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Baltimore, MD
Other Businesses

(1) NAME OF ENTITY: Corinthian Prospects LTD-Partnership/Cannons Ashby LLC. ADDRESS OF BUSINESS: 9610 FALLS ROAD BALTIMORE, MD 21209. BUSINESS DESCRIPTIONS: LP created for inheritance. BUSINESS IS NOT INVESTMENT RELATED. PROJECTED START DATE: - 10/01/04. PROJECTED END DATE: - No Anticipated End Date. CAPACITY: Owner - Passive. DUTIES PERFORMED: None. HOURS DEVOTED TO THIS OBA PER MONTH: None. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: None. (2) QUAKER PROSPECT IV LP; ADDRESS: 6511 DARNELL RD BALTIMORE, MD 21204; BUSINESS DESCRIPTION: PARTNERSHIP; NOT INVESTMENT RELATED; START DATE: 01/05/2002; CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE 3) NAME OF ENTITY: Dunmanway Management LLC ADDRESS: P.O. Box 6 Riderwood, MD 21139 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Family LLC CAPACITY: Owner - Active, Partner, Other START DATE: 03.01.21 DUTIES: Owner PER MONTH: 2; SECURITIES HOURS: 0

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-09-15
S65 Uniform Investment Adviser Law Examination 1994-09-15
  • S63 Uniform Securities Agent State Law Examination
    1994-09-15
  • S65 Uniform Investment Adviser Law Examination
    1994-09-15
Other Names
  • Cf Claflin Hall
  • Cf F Hall
  • Cf F. Hall
  • Claf Hall

View on SEC IAPD

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