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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-04-10 |
| AZ | RA | APPROVED | 2011-09-06 |
Branch Locations
2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467 • United States
Paradise Valley, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Phoenix | AZ | 05/2009 | Present |
(1) MARICOPA INTEGRATED HEALTH SYSTEM; ADDRESS: 26TH ST & ROOSEVELT, PHOENIX, AZ; BUSINESS DESCRIPTION: COUNTY HOSPITAL; NOT INVESTMENT RELATED; START DATE: 06/12/2011; CAPACITY: BOARD OF DIRECTORS, ELECTED OFFICIAL; DUTIES: OVERSEE GOVERNANCE AND POLICIES; HOURS DEVOTED PER WEEK: 2; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) SCOTTSDALE BUSINESS DEVELOPMENT FORUM; ADDRESS: SKYSONG SCOTTSDALE RD AND MCDOWELL SCOTTSDALE, AZ; BUSINESS DESCRIPTION: BUSINESS DEVELOPMENT THINK TANK; NOT INVESTMENT RELATED; START DATE: 02/17/2012; CAPACITY: BOARD OF DIRECTORS, CHAIRMAN; DUTIES: LEAD MEETINGS, MEET WITH POTENTIAL BUSINESSES; HOURS DEVOTED PER WEEK: 3; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (3) PHOENIX POLICE RESERVE FOUNDATION; ADDRESS: 620 WEST WASHINGTON STREET, ROOM 414, PHOENIX, AZ 85003 (POLICE RESERVE DIVISION); NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT FOUNDATION; CAPACITY: BOARD OF DIRECTORS; START DATE: 12/21/2018; DUTIES: ATTEND BOARD MEETINGS-INTERACT WITH POLICE DEPARTMENT-GOOD WILL AMBASSADOR FOR POLICE-ATTEND PUBLIC EVENTS-RAISE AWARENESS TO POLICE WORK; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 1985-10-10 |
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