Thomas Edward Brockley

Current Employers

Employment History

• 02/2010 → Present
  Rbc Capital Markets, Llc
  Albany, NY
• 07/2016 → Present
  City National Bank
  Albany, NY

Previous Registrations

• 1999-11-09 → 2010-03-02
  Ubs Financial Services Inc.
  Albany, NY
  Albany, NY

Other Businesses

(1) SPORTSAVER; ADDRESS: PO BOX 634 ALBANY, NY 12201; BUSINESS DESCRIPTION: SPORTS MEMORABILIA COMPANY; NOT INVESTMENT RELATED; START DATE: 04/01/1998; CAPACITY: OWNER-PASSIVE; DUTIES: GENERAL PARTNER; HOURS DEVOTED PER WEEK: .25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) BROCKLEY STABLES; ADDRESS: PO BOX 634 ALBANY, NY 12201; BUSINESS DESCRIPTION: HORSE RACING AND BREEDING; NOT INVESTMENT RELATED; START DATE: 01/01/2002; CAPACITY: OWNER-ACTIVE; DUTIES: BUYING AND SELLING RACE HORSES; HOURS DEVOTED PER WEEK: .25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) ALBANY POLICE ATHLETIC LEAGUE; ADDRESS: 844 MADISON AVENUE ALBANY, NY 12208; BUSINESS DESCRIPTION: JUVENILE CRIME PREVENTION PROGRAM; NOT INVESTMENT RELATED; START DATE: 10/23/2010; CAPACITY: BOARD OF DIRECTORS; DUTIES: POLICY OVERSIGHT; HOURS DEVOTED PER WEEK: .10; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (4) PREMIERE TRANSPORTATION GROUP; ADDRESS: 456 NORTH PEARL STREET ALBANY, NY 12204; BUSINESS DESCRIPTION: TRANSPORTATION COMPANY; NOT INVESTMENT RELATED; START DATE: 06/01/2012; CAPACITY: BOARD OF DIRECTORS; DUTIES: ATTEND TWO BOARD MEETINGS PER YEAR 1 HOUR EACH; HOURS DEVOTED PER WEEK: .10; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (5) STEEL CURTAIN LLC; ADDRESS: 112 STATE STREET SUITE 1330 ALBANY NY 12207; BUSINESS DESCRIPTION: REAL ESTATE HOLDING COMPANY; NOT INVESTMENT RELATED; START DATE: 01/01/2016; CAPACITY: SOLE PROPRIETOR; DUTIES: LIMITED PROPERTY OWNERSHIP; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .50

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-12-05
• S63 Uniform Securities Agent State Law Examination
  1986-01-08

Other Names

• Thomas Edward Brockley