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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-06
TX RA APPROVED 2014-11-13
  • NY RA
    APPROVED
    Since 2021-08-06
  • TX RA
    APPROVED
    Since 2014-11-13

Branch Locations

455 Patroon Creek Blvd. Suite 200, Albany, NY 12206-5011 • United States

18 Division Street Suite 208, Saratoga Springs, NY 12866 • United States

Saratoga Springs, NY • 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 Albany NY 11/2014 Present
City National Bank Albany NY 12/2016 Present
Other Businesses

(1) Name of Entity: Griffin & Chase LLC Address of Business: 10 Saddle Brook Drive Saratoga Springs NY 12866 Business Description: Member of LLC that owns residential apartments Business is not investment related Projected Start Date - 12/22/2015 Projected End Date -No anticipated end date Capacity - Sole Proprietor Duties Performed - Oversight and making spending decisions. A management company oversees the daily operations. 4 hours devoted to this OBA per month 0 hours devoted during security trading hours per month (2) Name: Carlilian Foundation Address: The Carlilian Foundation provides capital improvement grants to benefit the people of Schenectady. Business Description: 10/01/20 Business is not investment related Projected Start Date: Treasurer Capacity: Primarily check writing and helping to decide which organizations will receive grants Duties Performed: Devoted to this OBA per Month: 0.5 Hours Devoted to this OBA during business hours: 0 (3) NAME OF ENTITY: Carlilian Foundation ADDRESS: 251 State St Suite 202 Schenectady NY 12305 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Nov 30, 2021 CAPACITY: Other DUTIES: Meet with board members to vote on grant disbursements to community organizations. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-18
S63 Uniform Securities Agent State Law Examination 1999-12-21
  • S66 Uniform Combined State Law Examination
    2014-02-18
  • S63 Uniform Securities Agent State Law Examination
    1999-12-21
Other Names
  • Jennifer Ellen Phillippe
  • Jennifer Phillippe Connors

View on SEC IAPD

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