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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-03-30
CO RA APPROVED 1999-01-01
  • TX RA
    APPROVED_RES
    Since 2017-03-30
  • CO RA
    APPROVED
    Since 1999-01-01

Branch Locations

5251 Dtc Parkway Suite 1200, Greenwood Village, CO 80111-2737 • United States

Parker, CO • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets Corporation Denver Tech-Englewood CO 03/2008 Present
City National Bank Denver Tech-Englewood CO 06/2021 01/2023
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Denver Tech-Englewood, CO
  • 06/2021 → 01/2023
    City National Bank
    Denver Tech-Englewood, CO
Other Businesses

1) THE FOUNDATION FOR CALABRIAN ARCHAEOLOGY; ADDRESS: 1036 MARCO LN LEXINGTON, KY 40509; BUSINESS DESCRIPTION: ARCHAEOLOGICAL ORGANIZATION; NOT INVESTMENT RELATED; START DATE: 01/01/1994; CAPACITY: BOARD OF DIRECTORS; DUTIES: SERVING ON THE BOARD, PLAN DIG SEASON; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .25 2) NAME OF ENTITY: Archaeological Institute of America ADDRESS: 44 Beacon Street, Boston, MA 02108 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Trade Association START DATE: 08/27/14 CAPACITY: General Trustee on the Board / Treasurer DUTIES: Aids in oversight of policies, programs and procedures for the organization with meetings quarterly to review finances other agenda items. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: The Denver Society of The Archaeological Institute of America ADDRESS: 303 S. Broadway Suite B-517, Denver, Colorado 80209 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Not For Profit START DATE: Jul 15, 2013 CAPACITY: Board of Directors DUTIES: No duties, honorary member. HOURS DEVOTED PER MONTH: 0-4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0-4

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-23
S65 Uniform Investment Adviser Law Examination 1996-05-07
S63 Uniform Securities Agent State Law Examination 1985-09-13
  • S66 Uniform Combined State Law Examination
    2007-10-23
  • S65 Uniform Investment Adviser Law Examination
    1996-05-07
  • S63 Uniform Securities Agent State Law Examination
    1985-09-13
Other Names
  • Jim Jansson

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