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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-07-31 |
| TX | RA | APPROVED_RES | 2015-11-24 |
| GA | RA | APPROVED | 2012-04-27 |
Branch Locations
3550 Lenox Road Suite 1950, Atlanta, GA 30326 • United States
Atlanta, GA • United States
Naples, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Naples | FL | 04/2012 | Present |
(1) FINRA; ADDRESS: 1735 K ST WASHINGTON, DC 20006; BUSINESS DESCRIPTION: FINANCIAL INDUSTRY REGULATORY AUTHORITY; NOT INVESTMENT RELATED; START DATE: 08/15/1998; CAPACITY: ARBITRATOR; DUTIES: ARBITRATE DISPUTES BETWEEN INDUSTRY RELATED PARTIES; HOURS DEVOTED PER WEEK: .01; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (2) CHEROKEE GARDEN LIBRARY, ATLANTA HISTORY CENTER; ADDRESS: 130 WEST PACES FERRY ROAD NW, ATLANTA, GA, 30305; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT LIBRARY HOUSING 28,000 HISTORICAL HORTICULTURAL DOCUMENTS FOR RESEARCH; CAPACITY: BOARD OF DIRECTORS; START DATE: 4/15/2019; DUTIES: AS PART OF THE PROGRAMMING COMMITTEE, WE WILL BE RESPONSIBLE FOR DETERMINING THE TYPE AND TIMING OF CERTAIN LECTURES AND SPEAKERS OFFERED TO THE PUBLIC; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. 3) NAME OF ENTITY: Muscogee Townhome Association ADDRESS: 18 Muscogee Ave. NW Atlanta, Ga. 30305 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Townhome Association CAPACITY: Board of Directors * START DATE: 02/15/23 DUTIES: attend quarterly meetings to advise on any issues that arise pertaining to the properties/townhomes, talking through complaints or suggestions. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-06 |
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