Dodd Newton Koeckert

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2015-06-29
TX	RA	APPROVED	2015-06-24

CT RA
APPROVED

Since 2015-06-29
TX RA
APPROVED

Since 2015-06-24

Branch Locations

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

New Canaan, CT • United States

Disclosures

1 disclosure category 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 No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Stamford	CT	06/2015	Present
City National Bank	Stamford	CT	10/2016	Present

06/2015 → Present

Rbc Capital Markets, Llc

Stamford, CT
10/2016 → Present

City National Bank

Stamford, CT

Previous Registrations

1987-08-20 → 2015-06-25

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT

Wilton, CT

Stamford, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-07-16
S63	Uniform Securities Agent State Law Examination	1985-12-06

S65 Uniform Investment Adviser Law Examination

1996-07-16
S63 Uniform Securities Agent State Law Examination

1985-12-06