Thomas Charles Ofarrell

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2020-06-26
TX	RA	APPROVED_RES	2020-06-26

MD RA
APPROVED

Since 2020-06-26
TX RA
APPROVED_RES

Since 2020-06-26

Branch Locations

1906 Towne Centre Blvd Suite 375, Bldg #4, Annapolis, MD 21401-3686 • United States

Davidsonville, MD • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Rbc Capital Markets , Llc	Annapolis	MD	03/2009	Present
City National Bank	Annapolis	MD	11/2019	Present

03/2009 → Present

Rbc Capital Markets , Llc

Annapolis, MD
11/2019 → Present

City National Bank

Annapolis, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-06-25
S63	Uniform Securities Agent State Law Examination	1984-10-02

S65 Uniform Investment Adviser Law Examination

2020-06-25
S63 Uniform Securities Agent State Law Examination

1984-10-02

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Exams

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