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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 2005-02-23
  • TX RA
    APPROVED
    Since 2005-02-23

Branch Locations

100 Crescent Court Suite 1500, Dallas, TX 75201-1871 • United States

Dallas, TX • 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 Dallas TX 03/2008 Present
City National Bank Dallas TX 03/2026 Present
Other Businesses

1)KRADDICK FOUNDATION/KIDD'S KIDS; ADDRESS: 220 LAS COLINAS BLVD C-210 IRVING, TX 75039; BUSINESS DESCRIPTION: 501(C)3 NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 11/01/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: BOARD MEMBER DUTIES; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 1 2) NAME OF ENTITY: University of North Texas G. Brint Ryan College of Business Dean's Advisory Board; ADDRESS: 1155 Union Circle #311160 Denton, TX 76203-5017; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Business School at a major Texas University; CAPACITY: Committee/Council Member (not associated with the Board of Directors); START DATE: 01/01/2021; DUTIES: Offer opinions to the Dean; offer assistance in fundraising for the College; promote UNT Business School; HOURS DEVOTED PER MONTH: 04; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE; 3) NAME OF ENTITY: T I Sullivan, LLC ADDRESS: 3530 E 31st ST B, Tulsa, OK 74135 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Partnership START DATE: 11/01/24 CAPACITY: manager DUTIES: managing oil & gas interests HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-28
S63 Uniform Securities Agent State Law Examination 1986-07-24
  • S65 Uniform Investment Adviser Law Examination
    1995-09-28
  • S63 Uniform Securities Agent State Law Examination
    1986-07-24
Other Names
  • Dan Sullivan
  • Dan Sullivan

View on SEC IAPD

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