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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2013-06-07 |
Branch Locations
99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603 • United States
Santa Cruz, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | San Francisco | CA | 06/2013 | Present |
| City National Bank | San Jose | CA | 08/2017 | Present |
(1) THE COOPERAGE AMERICAN GRILL; ADDRESS: 32 FIESTA LANE, LAFAYETTE, CA, 94549; BUSINESS DESCRIPTION: RESTAURANT; NOT INVESTMENT RELATED; START DATE: 01/04/2014; CAPACITY: OWNER-PASSIVE; DUTIES: PROVIDE FEEDBACK ON FOOD, DRINK, SERVICE; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) ALDERSLY GARDEN RETIREMENT COMMUNITY; ADDRESS: 326 MISSION AVENUE SAN RAFAEL, CALIFORNIA 94901; BUSINESS DESCRIPTION: CONTINUOUS CARE COMMUNITY; NOT INVESTMENT RELATED; START DATE: 01/02/2012; CAPACITY: BOARD OF DIRECTORS; DUTIES: BOARD MEMBER, VOLUNTEER; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .50
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1982-02-03 |
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