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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2017-12-14
TX RA APPROVED 2017-12-14
  • PA RA
    APPROVED
    Since 2017-12-14
  • TX RA
    APPROVED
    Since 2017-12-14

Branch Locations

130 N. 18Th Street One Logan Square, 17Th Floor, Philadelphia, PA 19103-6933 • United States

Philadelphia, PA • 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
Wells Fargo Advisors Llc Philadelphia PA 03/2010 11/2016
Wells Fargo Clearing Services, Llc Philadelphia PA 11/2016 12/2017
Rbc Capital Markets, Llc. Philadelphia PA 12/2017 Present
City National Bank Philadelphia PA 04/2018 Present
Previous Registrations
  • 2010-03-05 → 2017-12-22
    Philadelphia, PA
    Philadelphia, PA
    Philadelphia, PA
    Wayne, PA
  • 2005-04-20 → 2010-02-24
    Td Wealth Management Services Inc.
    Philadelphia, PA
    Philadelphia, PA
Other Businesses

NAME OF ENTITY: Philadelphia Cricket Club ADDRESS: 415 W. Willow Grove Ave Philadelphia, PA 19118 NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: Country Club CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 06/15/2021 DUTIES: Admission Committee Member. I speak to prospective members and calling their sponsors to confirm if they would be a good fit for the club and if they are in good standing with the community HOURS DEVOTED PER MONTH: 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None (2) NAME OF ENTITY: Springside Chestnut Hill Academy ADDRESS: 500 W. Willow Grove Ave., Philadelphia, PA 19118 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private School CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 9/28/2021 DUTIES: Reviewing the current investment portfolio as well as future investments for the school. This is managed by a third party company called the Commonfund. We review the current holdings and do not manage the assets. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-18
S63 Uniform Securities Agent State Law Examination 1998-09-14
  • S65 Uniform Investment Adviser Law Examination
    1998-09-18
  • S63 Uniform Securities Agent State Law Examination
    1998-09-14
Other Names
  • Leo James Mcmanus
  • Lee James Mcmanus

View on SEC IAPD

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