Best Investors Account Sign in
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
CA RA APPROVED 2002-05-28
  • TX RA
    APPROVED_RES
    Since 2015-02-05
  • CA RA
    APPROVED
    Since 2002-05-28

Branch Locations

5250 North Palm Avenue Suite 111, Fresno, CA 93704-2226 • United States

Fresno, CA • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets Llc Fresno CA 03/2008 Present
City National Bank Fresno CA 03/2017 08/2021
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-04-18
S65 Uniform Investment Adviser Law Examination 1995-04-17
  • S63 Uniform Securities Agent State Law Examination
    1995-04-18
  • S65 Uniform Investment Adviser Law Examination
    1995-04-17

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Fresno, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor