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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_RES 2020-07-28
CA RA APPROVED 2020-07-27
  • TX RA
    APPROVED_RES
    Since 2020-07-28
  • CA RA
    APPROVED
    Since 2020-07-27

Branch Locations

345 California Street, San Francisco, CA 94104-2642 • United States

Pinole, CA • 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, Llc San Francisco CA 08/2017 Present
Devoe & Company, Llc San Francisco CA 07/2016 08/2017
Banc Of California, Inc San Francisco CA 09/2016 01/2017
  • 08/2017 → Present
    San Francisco, CA
  • 07/2016 → 08/2017
    Devoe & Company, Llc
    San Francisco, CA
  • 09/2016 → 01/2017
    Banc Of California, Inc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-07-25
S63 Uniform Securities Agent State Law Examination 2007-03-23
  • S65 Uniform Investment Adviser Law Examination
    2020-07-25
  • S63 Uniform Securities Agent State Law Examination
    2007-03-23

View on SEC IAPD

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