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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-09-26 |
| CA | RA | APPROVED | 2002-05-28 |
Branch Locations
4250 Executive Square Suite 800, La Jolla, CA 92037-9103 • United States
Encinitas, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | La Jolla | CA | 03/2008 | Present |
(1) SAN DIEGO BOTANIC GARDEN; ADDRESS: PO BOX 23005 ENCINITAS, CA 92023; BUSINESS DESCRIPTION: BOTANICAL GARDEN; NOT INVESTMENT RELATED; START DATE: 08/01/2017; CAPACITY: BOARD OF DIRECTORS; DUTIES: OVERSIGHT AND ADVISORY; HOURS DEVOTED PER WEEK: 2; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (2) NAME OF ENTITY: Murchison Oil and Gas ADDRESS: 7250 Dallas pkwy., ste.#1400, Plano, TX. - 75024 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Oil and Gas Co. lease - receive variable royalties CAPACITY: Other START DATE: 03/04/21 DUTIES: n/a HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-13 |
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