Brenda Stokes Dixon

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-02-19
CO	RA	APPROVED	1999-01-01

TX RA
APPROVED_RES

Since 2010-02-19
CO RA
APPROVED

Since 1999-01-01

Branch Locations

Boulder, CO • United States

1801 13Th Street Suite 310, Boulder, CO 80302-5342 • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	Boulder	CO	03/2008	Present
City National Bank	Boulder	CO	10/2018	Present

03/2008 → Present

Rbc Capital Markets, Llc

Boulder, CO
10/2018 → Present

City National Bank

Boulder, CO

Other Businesses

(1) NORTHWOODS CLUB INVESTMENT COMMITTEE; ADDRESS: PO BOX 12 MINERVA, NY 11111; BUSINESS DESCRIPTION: COMMITTEE TO MANAGE ASSETS OF CLUB; NOT INVESTMENT RELATED; START DATE: 01/01/2004; CAPACITY: COMMITTEE/COUNCIL MEMBER/INDEPENDENT CONTRACTOR/CONSULTANT; DUTIES: HELP DIRECT USE OF FUNDS IN ENDOWMENT ACCOUNT, GIVE AN OCCASIONAL OPINION ON EQUITIES/BONDS IN ENDOWMENT FUND; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) CPD LLC; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: LLC ESTABLISHED FOR DIXON FAMILY ESTATE PLANNING PURPOSES; CAPACITY: MANAGER; START DATE: 06/13/2011; DUTIES: MANAGE THE ENTITY BY PROVIDING TAX REPORTING INFORMAITON, OTHER RELEVANT CASH FLOW DECISIONS AS THEY ARISE. CLIENT MAKES INVESTMENT DECISIONS AND DIRECTS DISBURSMENTS TO BE AUTHORIZED BY MANAGER; HOURS DEVOTED PER MONTH: .025; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; (3) Address - 1366 Northridge Court Boulder CO 80304 Business Description - Homeowner's Association Business is not investment related Projected Start Date: 03/09/20 Capacity: Board of Directors Duties Performed: Attend board meetings, vote on board initiatives Hours Devoted to this OBA Per Month: 15 minutes Hours Devoted to this OBA during business hours: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-03-12
S63	Uniform Securities Agent State Law Examination	1983-06-28

S65 Uniform Investment Adviser Law Examination

1996-03-12
S63 Uniform Securities Agent State Law Examination

1983-06-28

Other Names

Brenda S Dixon
Brenda Kay Stokes

View on SEC IAPD