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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-05-04
TX RA APPROVED 2023-05-04
  • CA RA
    APPROVED
    Since 2023-05-04
  • TX RA
    APPROVED
    Since 2023-05-04

Branch Locations

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

Needham, MA • 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
OrganizationCityStateFromTo
First Republic Securities Company Llc San Francisco CA 02/2016 04/2017
First Republic Investment Management, Inc San Francisco CA 02/2016 04/2017
First Republic Securities Company, Llc San Francisco CA 04/2017 05/2023
First Republic Investment Management, Inc. San Francisco CA 04/2017 05/2023
Rbc Capital Markets, Llc San Francisco CA 05/2023 Present
  • 02/2016 → 04/2017
    First Republic Securities Company Llc
    San Francisco, CA
  • 02/2016 → 04/2017
    First Republic Investment Management, Inc
    San Francisco, CA
  • 04/2017 → 05/2023
    First Republic Securities Company, Llc
    San Francisco, CA
  • 04/2017 → 05/2023
    First Republic Investment Management, Inc.
    San Francisco, CA
  • 05/2023 → Present
    San Francisco, CA
Previous Registrations
  • 2016-02-19 → 2023-05-24
    J.P. Morgan Private Wealth Advisors Llc
    San Francisco, CA
  • 2006-03-03 → 2016-02-22
    Napa, CA
    San Francisco, CA
    San Francisco, CA
    Santa Rosa, CA
  • 2001-04-09 → 2006-03-06
    Banc Of America Investment Services, Inc.
    San Rafael, CA
    San Rafael, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-05-21
  • S66 Uniform Combined State Law Examination
    1999-05-21

View on SEC IAPD

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