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Katherine Elizabeth Condy

Rbc Capital Markets, LLC

Stamford, CT

Pelham, NY

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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 2017-03-30
CT RA APPROVED 2010-11-22
  • TX RA
    APPROVED_RES
    Since 2017-03-30
  • CT RA
    APPROVED
    Since 2010-11-22

Branch Locations

1 Landmark Square 12Th Floor, Stamford, CT 06901-2502 • United States

Pelham, NY • 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 Stamford CT 03/2008 Present
City National Bank Stamford CT 09/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-09
S63 Uniform Securities Agent State Law Examination 1984-08-08
  • S65 Uniform Investment Adviser Law Examination
    1997-12-09
  • S63 Uniform Securities Agent State Law Examination
    1984-08-08
Other Names
  • Katherine Elizabeth Harris

View on SEC IAPD

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