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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 2023-09-06
PA RA APPROVED 2018-06-29
  • TX RA
    APPROVED_RES
    Since 2023-09-06
  • PA RA
    APPROVED
    Since 2018-06-29

Branch Locations

1 Dickinson Drive Suite 100, Chadds Ford, PA 19317-9665 • United States

Kennett Square, PA • 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
Wells Fargo Advisors Llc Newark DE 05/2009 11/2016
Wells Fargo Clearing Services, Llc Newark DE 11/2016 06/2018
Rbc Capital Markets, Llc. Chadds Ford PA 02/2018 Present
Previous Registrations
Other Businesses

(1) TWO RAISED BEDS; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: GARDEN BUSINESS; CAPACITY: SOLE PROPRIETOR; START DATE: 11/5/18; DUTIES: BUILDING RAISED BED GARDENS OUT OF CEDAR; HOURS DEVOTED PER MONTH: 5; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (2) TACTICAL DISARM LLC; ADDRESS: PERSONAL RESIDENCE, NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PERSONAL SAFETY/SELF DEFENSE; CAPACITY: SOLE PROPRIETOR; START DATE: 11/1/2018; DUTIES: SELF DEFENSE WORKSHOPS; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (3) NAME OF ENTITY: East Marlboro West p18 ADDRESS: 102 chalfont rd Kennett sq Pennsylvania 19348 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: 19/08/2025 CAPACITY: Committee/Council Member DUTIES: be in charge of small precinct in an effort to get out the vote HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-07-02
  • S63 Uniform Securities Agent State Law Examination
    1985-07-02

View on SEC IAPD

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