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Richard Frederick Gress

Rbc Capital Markets, LLC

Sarasota, FL

Sarasota, FL

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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_RES 2015-03-10
FL RA APPROVED 2015-03-09
  • TX RA
    APPROVED_RES
    Since 2015-03-10
  • FL RA
    APPROVED
    Since 2015-03-09

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
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-05-27
S63 Uniform Securities Agent State Law Examination 1988-11-11
  • S65 Uniform Investment Adviser Law Examination
    2015-05-27
  • S63 Uniform Securities Agent State Law Examination
    1988-11-11
Other Names
  • Richard Frederick Gress
  • Richard Frederick Gress

View on SEC IAPD

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