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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 2016-07-21
WA RA APPROVED 1997-03-20
  • TX RA
    APPROVED_RES
    Since 2016-07-21
  • WA RA
    APPROVED
    Since 1997-03-20

Branch Locations

175 Parfitt Way Sw Suite S200, Bainbridge Island, WA 98110-2582 • United States

Bainbridge Island, WA • 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 Bainbridge Island WA 03/2008 Present
City National Bank Bainbridge Island WA 07/2016 Present
  • 03/2008 → Present
    Bainbridge Island, WA
  • 07/2016 → Present
    City National Bank
    Bainbridge Island, WA
Other Businesses

(1) A&D PARTNERS LLC; ADDRESS: 232 AURORA AVE. NORTH, STE 100, SEATTLE, WA 98109; BUSINESS DESCRIPTION: BUILDING DEVELOPMENT; NOT INVESTMENT RELATED; START DATE: 08/25/2017; CAPACITY: OWNER-PASSIVE; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (2) CHARLES AND FRANCES SHANNON MULTI-FAMILY BUILDING; ADDRESS: 2532 DEXTER AVENUE NORTH, SEATTLE, WA 98109; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: MULTI FAMILY BUILDING ON DEXTER AVENUE NORTH, SEATTLE, WASHINGTON; CAPACITY: OTHER-MANAGE 4 UNIT BUILDING FOR THE BENEFIT OF IN LAWS; START DATE: 1/15/2019; DUTIES: OVERALL BUILDING MANAGEMENT FOR 4 UNIT MULTI FAMILY BUILDING; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. 3) NAME OF ENTITY: Dexter Avenue Residence LLC ADDRESS: 2532 Dexter Avenue North Seattle WA . 98109 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Family fourplex rental CAPACITY: Other START DATE: 12/15/22 DUTIES: help manage the family fourplex which was recently inherited HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-06-06
S63 Uniform Securities Agent State Law Examination 1986-07-18
  • S65 Uniform Investment Adviser Law Examination
    1995-06-06
  • S63 Uniform Securities Agent State Law Examination
    1986-07-18
Other Names
  • Patrick D Elliott

View on SEC IAPD

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