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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 2017-03-06
NH RA APPROVED 2005-10-17
  • TX RA
    APPROVED_RES
    Since 2017-03-06
  • NH RA
    APPROVED
    Since 2005-10-17

Branch Locations

53 State Street Suite 3600, Boston, MA 02109-1875 • United States

Braintree, MA • 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, Llc Boston MA 03/2008 Present
City National Bank Boston MA 06/2019 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-06
S63 Uniform Securities Agent State Law Examination 1990-07-17
  • S65 Uniform Investment Adviser Law Examination
    1995-01-06
  • S63 Uniform Securities Agent State Law Examination
    1990-07-17

View on SEC IAPD

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