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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-08-06
TX RA APPROVED 2012-08-03
  • CA RA
    APPROVED
    Since 2012-08-06
  • TX RA
    APPROVED
    Since 2012-08-03

Branch Locations

610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448 • United States

Costa Mesa, CA • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Newport Beach CA 08/2012 Present
City National Bank Newport Beach CA 02/2019 Present
  • 08/2012 → Present
    Newport Beach, CA
  • 02/2019 → Present
    City National Bank
    Newport Beach, CA
Previous Registrations
Other Businesses

(1) RENO COVENANT GROUP, LLC; ADDRESS: 6395 SOUTH MCCARRAN BOULEVARD RENO, NV 89511; BUSINESS DESCRIPTION: COMMERCIAL REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 02/01/2013; CAPACITY: OWNER - PASSIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) OVERLAND VIEW; ADDRESS: N/A; BUSINESS DESCRIPTION: COMMERCIAL REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 04/25/2008; CAPACITY: OWNER - PASSIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) CIVIC VIEW; ADDRESS: N/A; BUSINESS DESCRIPTION: COMMERCIAL REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 07/10/2008; CAPACITY: OWNER - PASSIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 4) NAME OF ENTITY: Valley Home LLC ADDRESS: 130 Valley Home Ave, La Habra, CA 90631 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Apartment Building - Rentals START DATE: 03.20.21 CAPACITY: Owner - Passive DUTIES: none HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-04-08
S63 Uniform Securities Agent State Law Examination 1995-02-02
  • S65 Uniform Investment Adviser Law Examination
    2013-04-08
  • S63 Uniform Securities Agent State Law Examination
    1995-02-02
Other Names
  • Tim Ralph Bockhold
  • Timothy R Bockhold

View on SEC IAPD

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