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Clifton James Kelly

Rbc Capital Markets, LLC

Scottsdale, AZ

Greenbrae, CA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2020-08-27
CA RA APPROVED 2019-11-22
TX RA APPROVED 2019-11-21
  • AZ RA
    APPROVED
    Since 2020-08-27
  • CA RA
    APPROVED
    Since 2019-11-22
  • TX RA
    APPROVED
    Since 2019-11-21

Branch Locations

Scottsdale, AZ • United States

300B Drakes Landing Road Ste 155, Greenbrae, CA 94904 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mill Valley CA 10/1984 11/2019
Bank Of America, Na Mill Valley CA 07/2010 11/2019
Rbc Capital Markets, Llc. Greenbrae CA 11/2019 Present
City National Bank Greenbrae CA 12/2019 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-08-25
S63 Uniform Securities Agent State Law Examination 1984-12-27
  • S65 Uniform Investment Adviser Law Examination
    2020-08-25
  • S63 Uniform Securities Agent State Law Examination
    1984-12-27

View on SEC IAPD

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