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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2022-11-04 |
| NY | RA | APPROVED | 2021-08-06 |
| FL | RA | APPROVED | 2020-02-19 |
| TX | RA | APPROVED | 2005-05-13 |
Branch Locations
455 Patroon Creek Blvd. Suite 200, Albany, NY 12206-5011 • United States
Longboat Key, FL • United States
Owls Head, ME • United States
Loudonville , NY • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Albany | NY | 03/2008 | Present |
| City National Bank | Albany | NY | 12/2018 | Present |
(1) THE SHORE CONDO ASSOCIATION INC.; ADDRESS: 4134 GULF OF MEXICO DR. STE 203, LONGBOAT KEY, FL 34228; BUSINESS DESCRIPTION: CONDO ASSOCIATION; NOT INVESTMENT RELATED; START DATE: 02/28/2018; CAPACITY: BOARD OF DIRECTORS; DUTIES: TREASURER; HOURS DEVOTED PER MONTH: 1-2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-07 |
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