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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2017-04-18 |
| TX | RA | APPROVED_RES | 2017-03-30 |
| NJ | RA | APPROVED | 2009-10-09 |
Branch Locations
200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States
North Caldwell, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Florham Park | NJ | 10/2009 | Present |
(1)SANTA MONICA BREW WORKS LLC; ADDRESS: SANTA MONICA, CA; BUSINESS DESCRIPTION: BREWERY; NOT INVESTMENT RELATED; START DATE: 08/01/2013 CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (2) BYWAY ENDEAVORS; ADDRESS: 49 BOULDER TRAIL, BRONXVILLE, NY 10708; BUSINESS DESCRIPTION: COMEDY APP; NOT INVESTMENT RELATED; START DATE: 02/01/2017; CAPACITY: OTHER - INVESTOR; DUTIES: NONE; HOURS DEVOTED PER WEEK: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (3) MAXMAN, LLC; ADDRESS: 152 W. 58TH ST., NEW YORK, NY 10022; BUSINESS DESCRIPTION: SUMMER RENTAL PROPERTY; NOT INVESTMENT RELATED; START DATE: 12/27/2017; CAPACITY: OWNER-PASSIVE; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-19 |
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