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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 2023-12-14
NY RA APPROVED 2021-08-06
CT RA APPROVED 2020-06-05
  • TX RA
    APPROVED
    Since 2023-12-14
  • NY RA
    APPROVED
    Since 2021-08-06
  • CT RA
    APPROVED
    Since 2020-06-05

Branch Locations

285 Riverside Avenue Suite 335, Westport, CT 06880 • United States

Mount Kisco, 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
Ubs Financial Services Inc. New York NY 05/2012 06/2020
Rbc Capital Markets, Llc New York NY 06/2020 10/2020
Rbc Capital Markets, Llc Westport CT 10/2020 Present
Previous Registrations
  • 2012-05-04 → 2020-06-15
    New York, NY
    Purchase, NY
    Mount Kisco, NY
  • 2006-07-12 → 2012-05-25
    Credit Suisse Securities (Usa) Llc
    Rye Brook, NY
    New York, NY
    New York, NY
    Greenwich, CT
Other Businesses

1) Name: Littauer Foundation Address: 220 5th Ave, New York, NY 10001 Business Description: Charitable nonprofit Business is not investment related Projected Start Date: 06/15/90 Capacity: Director Duties Performed: Attend annual meetings and evaluate grant applications (e.g., Jewish philanthropy, Jewish scholarship public health) Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 2) Name: Blue Card Inc. Address: 171 Madison Avenue, New York, NY 10016 Business Description: Philanthropic organization that gives grants to indigent Holocaust survivors Business is not investment related Projected Start Date: 06/15/90 Capacity: Board of Directors Duties Performed: No duties. Only honorary title. Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-11
S65 Uniform Investment Adviser Law Examination 1994-04-25
S63 Uniform Securities Agent State Law Examination 1985-01-14
  • S66 Uniform Combined State Law Examination
    2006-07-11
  • S65 Uniform Investment Adviser Law Examination
    1994-04-25
  • S63 Uniform Securities Agent State Law Examination
    1985-01-14

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