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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-12-21
TX RA APPROVED_RES 2017-03-30
  • CT RA
    APPROVED
    Since 2023-12-21
  • TX RA
    APPROVED_RES
    Since 2017-03-30

Branch Locations

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

Dedham, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Boston MA 03/2008 Present
City National Bank Boston MA 07/2020 Present
Other Businesses

(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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-20
S63 Uniform Securities Agent State Law Examination 1992-09-24
  • S65 Uniform Investment Adviser Law Examination
    1995-01-20
  • S63 Uniform Securities Agent State Law Examination
    1992-09-24
Other Names
  • Sandy K Leith

View on SEC IAPD

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