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Account
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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-05-13 |
| ME | RA | APPROVED | 2009-04-17 |
Branch Locations
Two Portland Square 5Th Floor, Portland, ME 04101-4088 • United States
Portland, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Portland | ME | 04/2009 | Present |
| City National Bank | Portland | ME | 07/2019 | Present |
(1) FREEMARK PARTNERSHIP; ADDRESS: 60117 DAVLE, CHAPEL HILL, NC 24514; BUSINESS DESCRIPTION: INVESTMENT PARTNERSHIP; START DATE: 09/30/1996; INVESTMENT RELATED; CAPACITY: OWNER-PASSIVE; DUTIES: BUSINESS ADVISORY; HOURS DEVOTED TO THIS OBA PER MONTH: NONE; HOURS DEVOTED DURING TRADING: NONE (2) NAME OF ENTITY: Christmas Cove Improvement Association ADDRESS: Route 129 South Bristol ME 04568 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Not for Profit Club that operates 8 weeks during the summer CAPACITY: Director, Committee/Council Member (not associated with the Board of Directors) START DATE: 7/31/2021 DUTIES: To provide broad oversight of the financial affairs of the Association. With Finance Committee provide oversight of the 21st Century Fund. Provide advice and counsel to the President and Treasurer. HOURS DEVOTED PER MONTH: 3 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-03 |
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