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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2013-04-02
  • PA RA
    APPROVED
    Since 2013-04-02

Branch Locations

1605 Carmody Court Suite 200, Sewickley, PA 15143 • United States

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

Freedom, PA • 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
OrganizationCityStateFromTo
Rbc Capital Markets Cleveland OH 07/2009 Present
  • 07/2009 → Present
    Rbc Capital Markets
    Cleveland, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-20
S65 Uniform Investment Adviser Law Examination 1992-12-03
S63 Uniform Securities Agent State Law Examination 1991-10-17
  • S66 Uniform Combined State Law Examination
    2016-12-20
  • S65 Uniform Investment Adviser Law Examination
    1992-12-03
  • S63 Uniform Securities Agent State Law Examination
    1991-10-17

View on SEC IAPD

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