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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-11-23 |
| WA | RA | APPROVED | 1996-11-21 |
Branch Locations
3760 Carillon Point, Kirkland, WA 98033-7455 • United States
Seattle, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Bellevue | WA | 03/2008 | Present |
(1) REAL ESTATE; ADDRESS: EMPLOYEE'S RESIDENCE; BUSINESS DESCRIPTION: JOINT OWNERSHIP OF REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 01/01/2012; CAPACITY: OWNER-ACTIVE; DUTIES: AS CO-OWNER I HAVE DECISION-MAKING RESPONSIBILITIES FOR ALL ASPECTS OF THE ENTITY; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) MID VILLAGE PROPERTIES LLC; ADDRESS: 1627 S. JACKSON STREET SEATTLE, WA 98144; BUSINESS DESCRIPTION: REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 01/01/2012; CAPACITY: OWNER-ACTIVE; DUTIES: AS CO-OWNER I HAVE DECISION-MAKING RESPONSIBILITIES FOR ALL ASPECTS OF THE ENTITY; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-08 |
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