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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-12-21 |
| TX | RA | APPROVED_RES | 2017-03-30 |
Branch Locations
53 State Street Suite 3600, Boston, MA 02109-1875 • United States
Dedham, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Boston | MA | 03/2008 | Present |
| City National Bank | Boston | MA | 07/2020 | Present |
(1) DEDHAM SAVINGS BANK; ADDRESS: 55 ELM STREET, DEDHAM, MA 02026; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: LOCAL COMMUNITY BANK; CAPACITY: DIRECTOR; START DATE: 1/1/2015; DUTIES: AS A MEMBER OF THE BOARD OF INVESTMENT, I AND FIVE OTHER INVESTMENT PROFESSIONALS MAKE RECOMMENDATIONS TO THE CEO REGARDING FIRMS INVESTMENTS; HOURS DEVOTE PER MONTH: <2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1. (2) VINTAGE SPORTS CAR CLUB OF AMERICA; ADDRESS: 39 WOODLAND DRIVE, NEW BRITAIN, PA 18901; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: CLUB FOR DISCERNING COLLECTORS OF VINTAGE AUTOMOBILES; CAPACITY: OFFICER; START DATE: 1/1/2015; DUTIES: AS SITTING PRESIDENT, I WILL PRESIDE AT ALL MEETINGS OF THE MEMBERS AND OFFICERS; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (3) NAME OF ENTITY: Harbor Coves Improvement Association, Inc. ADDRESS: P.O. Box 292, North Chatham, MA 02650 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Apr 01, 2026 CAPACITY: Officer DUTIES: Preside over the AGM of the homeowners Association and host the cookout. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-24 |
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