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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2017-09-22 |
| TX | RA | APPROVED_RES | 2017-09-22 |
Branch Locations
225 Schilling Circle Suite 250, Hunt Valley, MD 21031-1125 • United States
Perryville, MD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sanders Morris Harris Inc | Houston | TX | 04/2001 | 09/2017 |
| Smh Capital Advisors Inc. | Houston | TX | 04/2001 | 09/2017 |
| Rbc Capital Markets, Llc | Baltimore | MD | 09/2017 | Present |
(1) UMPIRE; ADDRESS: N/A; BUSINESS DESCRIPTION: OFFICIATING: NOT INVESTMENT RELATED; START DATE: 1987; CAPACITY: UMPIRE; DUTIES: OFFICATE SOFTBALL GAMES; HOURS DEVOTED TO THIS OBA PER MONTH: 16; HRS DURING SECURITIES TRADING: NONE; (2) PERRYVILLE HIGH SCHOOL SOFTBALL COACH; ADDRESS: 1696 PERRYVILLE RD. PERRYVILLE, MD 21903; NOT INVESTMENT RELATED; START DATE: 2014; HOURS DEVOTED TO THIS OBA PER MONTH: 40; HOURS DEVOTED DURING SECURITIES TRADING: 20; (3) Name of Entity - NEMOA Address - Harford County, MD Business Description - Officials Association Business is not investment related Projected Start Date: 04/01/2019 Capacity: Independent Contractor/Consultant Duties Performed: Officiating Softball and Baseball Games Hours Devoted to this OBA per Month: 4 Hours Devoted to this OBA during business hours: 0 (4) Name of Entity - Softball Umpires of Maryland Address - Maryland Business Description - Umpire Association Business is not investment related Projected Start Date: 04/01/2019 Capacity: Independent Contractor/Consultant Duties Performed: Umpire Softball Games Hours Devoted to this OBA per Month: 5 Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-11-05 |
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