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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-08-23
TX RA APPROVED_RES 2010-02-08
IN RA APPROVED 2003-03-03
OH RA APPROVED 2002-02-07
WI RA APPROVED 1998-04-15
  • FL RA
    APPROVED
    Since 2018-08-23
  • TX RA
    APPROVED_RES
    Since 2010-02-08
  • IN RA
    APPROVED
    Since 2003-03-03
  • OH RA
    APPROVED
    Since 2002-02-07
  • WI RA
    APPROVED
    Since 1998-04-15

Branch Locations

Newport Square Building 10528 N. Port Washington Road, Mequon, WI 53092 • United States

Bonita Springs, FL • 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
Rbc Capital Markets, Llc Mequon WI 03/2008 Present
City National Bank Mequon WI 11/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-12-18
S63 Uniform Securities Agent State Law Examination 1983-10-25
  • S66 Uniform Combined State Law Examination
    2001-12-18
  • S63 Uniform Securities Agent State Law Examination
    1983-10-25

View on SEC IAPD

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