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Richard Ernest Metcalfe

Rbc Capital Markets, LLC

Farmington, CT

West Hartford, CT

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2002-03-11
  • CT RA
    APPROVED
    Since 2002-03-11

Branch Locations

30 Batterson Park Road Suite 350, Farmington, CT 06032 • United States

West Hartford, CT • 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 Corporation Hartford CT 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Hartford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-11-23
S63 Uniform Securities Agent State Law Examination 1985-03-01
  • S65 Uniform Investment Adviser Law Examination
    1993-11-23
  • S63 Uniform Securities Agent State Law Examination
    1985-03-01
Other Names
  • Richard E Metcalfe
  • Richard Metcalfe

View on SEC IAPD

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