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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
NJ RA APPROVED 2005-10-28
  • TX RA
    APPROVED_RES
    Since 2017-03-30
  • NJ RA
    APPROVED
    Since 2005-10-28

Branch Locations

3000 Atrium Way Suite 500, Mount Laurel, NJ 08054-3914 • United States

Cherry Hill, NJ • 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 Mount Laurel NJ 03/2008 Present
City National Bank Mount Laurel NJ 07/2020 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Mount Laurel, NJ
  • 07/2020 → Present
    City National Bank
    Mount Laurel, NJ
Previous Registrations
  • 2004-01-01 → 2005-11-02
    Cherry Hill, NJ
  • 2003-06-03 → 2004-01-01
    J.J.B. Hilliard, W.L. Lyons, Llc
    Cherry Hill, NJ
Other Businesses

(1) MARLTON LIONS CLUB; ADDRESS: 130 PRINCE DR CHERRY HILLS, NJ 8053; BUSINESS DESCRIPTION: SERVICE CLUB; NOT INVESTMENT RELATED; START DATE: 09/01/1996; CAPACITY: OFFICER; DUTIES: CLUB SECRETARY; RECORD KEEPING, REPORTING TO INTERNATIONAL OFFICE; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) PRADER-WILLI SYNDROME ASSOCIATION USA; ADDRESS: 8588 POTTER PARK DRIVE SUITE 500 SARASOTA, FL 34238; BUSINESS DESCRIPTION: TO PROVIDE INFORMATION, EDUCATION, AND SUPPORT SERVICES TO ITS MEMBERS; NOT INVESTMENT RELATED; START DATE: 06/04/2011; CAPACITY: CO-CHAIR FINANCE COMMITTEE, BOARD OF DIRECTORS EXECUTIVE COMMITTEE; DUTIES: FINANCE CHAIR, EXECUTIVE COMMITTEE; HOURS DEVOTED PER WEEK: 4; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-04
S63 Uniform Securities Agent State Law Examination 1993-11-22
  • S65 Uniform Investment Adviser Law Examination
    2002-01-04
  • S63 Uniform Securities Agent State Law Examination
    1993-11-22

View on SEC IAPD

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