William Walton Brown

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-06-18
CA	RA	APPROVED	2014-06-13

TX RA
APPROVED_RES

Since 2014-06-18
CA RA
APPROVED

Since 2014-06-13

Branch Locations

9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States

Encino, 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	Beverly Hills	CA	06/2014	Present
City National Bank	Beverly Hills	CA	12/2016	Present

06/2014 → Present

Rbc Capital Markets, Llc

Beverly Hills, CA
12/2016 → Present

City National Bank

Beverly Hills, CA

Previous Registrations

1999-06-03 → 2014-05-23

J.P. Morgan Securities Llc

Los Angeles, CA

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-10-11
S63	Uniform Securities Agent State Law Examination	1979-07-12

S65 Uniform Investment Adviser Law Examination

1999-10-11
S63 Uniform Securities Agent State Law Examination

1979-07-12

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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