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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 2025-03-03
CA RA APPROVED 2023-04-28
  • TX RA
    APPROVED
    Since 2025-03-03
  • CA RA
    APPROVED
    Since 2023-04-28

Branch Locations

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

San Francisco, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Republic Securities Company, Llc San Francisco CA 08/2016 04/2023
First Republic Investment Management, Inc. San Francisco CA 08/2016 04/2023
Rbc Capital Markets, Llc San Francisco CA 04/2023 Present
  • 08/2016 → 04/2023
    First Republic Securities Company, Llc
    San Francisco, CA
  • 08/2016 → 04/2023
    First Republic Investment Management, Inc.
    San Francisco, CA
  • 04/2023 → Present
    San Francisco, CA
Previous Registrations
  • 2016-08-26 → 2023-05-19
    J.P. Morgan Private Wealth Advisors Llc
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
  • 2002-10-03 → 2016-08-29
    San Francisco, CA
    San Francisco, CA
  • 2000-06-23 → 2002-08-19
    Robertson Stephens, Inc.
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-04-07
  • S66 Uniform Combined State Law Examination
    2000-04-07
Designations

View on SEC IAPD

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