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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 2015-03-02
TX RA APPROVED 2015-02-26
  • FL RA
    APPROVED
    Since 2015-03-02
  • TX RA
    APPROVED
    Since 2015-02-26

Branch Locations

1819 Main Street Suite 1100, Sarasota, FL 34236-5999 • United States

Sarasota, FL • 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, Llc Sarasota FL 02/2015 Present
City National Bank Sarasota FL 03/2017 Present
Previous Registrations
  • 2009-06-01 → 2015-03-09
    Sarasota, FL
    Sarasota, FL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Sarasota, FL
  • 2006-12-19 → 2007-04-02
    Morgan Stanley Dw Inc.
    Sarasota, FL
Other Businesses

(1) Address - 1700 S Tamiami Trail, Sarasota, FL 34239 Business Description - The Sarasota County Public Hosptial Board is the party responsible for the SMH health care system Business is not investment related Projected Start Date: 04/01/20 Capacity: Board of Directors Duties Performed: Oversee that the mission, purpose and goals of the hospital are carried out. Attend committee and board meetings. Participate in educational opportunities. Support the foundation and its efforts to bring world class healthcare to Sarasota Florida. Hours Devoted to this OBA Per Month: 2 Hours Devoted to this OBA during business hours: 2

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-15
  • S66 Uniform Combined State Law Examination
    2006-12-15

View on SEC IAPD

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