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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2008-03-14
WA RA APPROVED 2008-03-14
  • TX RA
    APPROVED
    Since 2008-03-14
  • WA RA
    APPROVED
    Since 2008-03-14

Branch Locations

401 Union Street Suite 3600, Seattle, WA 98101 • United States

Seattle, WA • 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 Corp Seattle WA 03/2008 Present
City National Bank Seattle WA 07/2022 Present
  • 03/2008 → Present
    Rbc Capital Markets Corp
    Seattle, WA
  • 07/2022 → Present
    City National Bank
    Seattle, WA
Previous Registrations
Other Businesses

(1) 1201 INVESTMENTS LLC; ADDRESS: 1201 THIRD AVE STE 3500 SEATTLE, WA 98101; BUSINESS DESCRIPTION: INVEST IN MAVERON PRIVATE EQUITY AS LLC; NOT INVESTMENT RELATED; START DATE: 11/01/1999; CAPACITY: OWNER-PASSIVE; DUTIES: NONE-INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) GONZAGA PREP SCHOOL; ADDRESS: 1231 EUCLID AVE SPOKANE, WA 99203; BUSINESS DESCRIPTION: PRIVATE HIGH SCHOOL; NOT INVESTMENT RELATED; START DATE: 01/03/2000; CAPACITY: COMMITTEE/COUNCIL MEMBER; DUTIES: VOLUNTEER ON THEIR INVESTMENT SUBCOMMITTEE; HOURS DEVOTED PER WEEK: .25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) RENTAL PROPERTY; ADDRESS: 2150 E. HAMLIN, SEATTLE, WA 98112; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SINGLE FAMILY RESIDENTIAL PROPERTY; CAPACITY: OWNER-ACTIVE; START DATE: 2/1/2018; DUTIES: PROPERTY MANAGER-COLLECT RENT AND MAINTAIN PROPERTY: HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (4) SEATTLE TENNIS CLUB; ADDRESS: 922 MCGILVRA BLVD., SEATTLE, WA 98112; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PRIVATE TENNIS CLUB; CAPACITY: VOLUNTEER FINANCE COMMITTEE MEMBER; START DATE: 11/3/2014; DUTIES: VOLUNTEER FINANCE COMMITTEE MEMBER HELPING TO ANALYZE CLUB BUDGETING, ETC.; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-17
S63 Uniform Securities Agent State Law Examination 1984-01-24
  • S65 Uniform Investment Adviser Law Examination
    1996-06-17
  • S63 Uniform Securities Agent State Law Examination
    1984-01-24
Other Names
  • Jerry Bosch

View on SEC IAPD

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