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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 2024-06-25
TX RA APPROVED_RES 2017-03-06
NJ RA APPROVED 2006-07-03
  • PA RA
    APPROVED
    Since 2024-06-25
  • TX RA
    APPROVED_RES
    Since 2017-03-06
  • NJ RA
    APPROVED
    Since 2006-07-03

Branch Locations

3000 Atrium Way Suite 500, Mount Laurel, NJ 08054-3914 • United States

Philadelphia, 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 Corporation Mount Laurel NJ 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Mount Laurel, NJ
Previous Registrations
  • 2006-02-21 → 2006-07-13
    New York, NY
    Marlton, NJ
  • 2002-05-02 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Marlton, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-27
S63 Uniform Securities Agent State Law Examination 1983-12-07
  • S65 Uniform Investment Adviser Law Examination
    1999-12-27
  • S63 Uniform Securities Agent State Law Examination
    1983-12-07

View on SEC IAPD

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