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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 2016-06-28
MD RA APPROVED 2009-03-13
  • TX RA
    APPROVED_RES
    Since 2016-06-28
  • MD RA
    APPROVED
    Since 2009-03-13

Branch Locations

40 South Potomac Street Suite 300, Hagerstown, MD 21740-5757 • United States

Hagerstown, MD • 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
Rbc Capital Markets Llc Hagerstown MD 03/2009 Present
City National Bank Hagerstown MD 06/2017 Present
Previous Registrations
  • 2001-03-08 → 2009-03-13
    Ferris, Baker Watts, Llc
    Hagerstown, MD
    Hagerstown, MD
Other Businesses

(1) CEDAR HILLS LAND ACQUISITION LLC; ADDRESS: 12608 AILANTHUS DRIVE HAGERSTOWN, MD 21742; BUSINESS DESCRIPTION: FARM LAND; NOT INVESTMENT RELATED; START DATE: 01/01/2010; CAPACITY: OWNER-ACTIVE; DUTIES: RENT TO FARMER; HOURS DEVOTED PER WEEK: .25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) THE JOHN HERSHEY AND ANNA HERSHEY FAMILY FOUNDATION; ADDRESS: 12608 AILANTHUS DRIVE HAGERSTOWN, MD 21742; BUSINESS DESCRIPTION: PERSONAL FAMILY FOUNDATION; NOT INVESTMENT RELATED; START DATE: 07/30/2012; CAPACITY: OFFICER-PRESIDENT; DUTIES: EXERCISE GENERAL CHARGE AND SUPERVISION OVER THE AFFAIRS AND ASSETS OF THE CORPORATION, WILL SIGN AND EXECUTE CHECKS, CONTRACTS, AND OTHER OFFICIAL DOCUMENTS; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) ROSE HILL CEMETERY; ADDRESS: 600 S POTOMAC HAGERSTOWN, MD 21740; BUSINESS DESCRIPTION: NON-PROFIT CEMETERY; NOT INVESTMENT RELATED; START DATE: 02/12/2013; CAPACITY: BOARD OF DIRECTORS; DUTIES: PARTICIPATE IN THE DEVELOPMENT AND IMPLEMENTATION OF THE LONG TERM STRATEGY OF THE CORPORATION; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .50 (4) MERITUS HEALTH SYSTEM; ADDRESS: 324 E ANTIETAM ST HAGERSTOWN, MD 21740; BUSINESS DESCRIPTION: MANAGES FUNDS FOR ENDOWMENT; NOT INVESTMENT RELATED; START DATE: 12/05/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: FINANCE COMMITTEE; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (5) NAME OF ENTITY: Blue Water Asset Management ADDRESS: 12608 Ailanthus Drive, Hagerstown, MD 21742 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: LLC to hold real estate CAPACITY: Owner START DATE: 10/17/2016 DUTIES: Purchase and manage commercial real estate HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-31
S63 Uniform Securities Agent State Law Examination 1985-10-24
  • S65 Uniform Investment Adviser Law Examination
    2000-07-31
  • S63 Uniform Securities Agent State Law Examination
    1985-10-24

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