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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-02-19 |
| MT | RA | APPROVED | 2005-10-12 |
| CA | RA | APPROVED | 2002-05-28 |
Branch Locations
9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States
2361 Rosecrans Ave Suite 460, El Segundo, CA 90245-7910 • United States
Manhattan Beach, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Los Angeles | CA | 03/2008 | Present |
| City National Bank | Beverly Hills | CA | 01/2017 | 01/2025 |
(1) NAME OF BUSINESS: CAPTON INC.; ADDRESS OF BUSINESS: SAN FRANCISCO, CA; NATURE OF BUSINESS: LIQUOR CAP DISPENSER; START DATE: 01/17/07; END DATE: 01/13/22; POSITION, TITLE OR RELATIONSHIP OF BUSINESS: OWNER-PASSIVE; APPROXIMATE NUMBER OF HOURS PER MONTH: NONE; NUMBER OF HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 0; DUTIES: NONE. (2) QUINCO LLC; ADDRESS: 1426 MANHATTAN BEACH, CA 90266; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: FOUR UNIT RENTAL APARTMENT; CAPACITY: OWNER-PASSIVE; START DATE: 6/1/2002; DUTIES: NONE; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (3) BONNIE BRAE STREET LLC.; ADDRESS: 1546 BONNIE BRAE, HERMOSA BEACH, CA 90254, NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RENTAL PROPERTY; CAPACITY: OWNER-PASSIVE; START DATE: 10/6/2004; DUTIES: NONE-IT IS A PASSIVE INVESTMENT; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (4) RENTAL PROPERTY; ADDRESS: 637 MANHATTAN BEACH BLVD, MANHATTAN BEACH, CA 90266; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RENTAL PROPERTY; CAPACITY; OWNER-PASSIVE; START DATE: 1/1/2010; DUTIES: NONE; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (5) RENTAL PROPERTY; ADDRESS: TAMARACK IDAHO; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SECOND HOME/RENTAL PROPERTY; CAPACITY: OWNER-ACTIVE; START DATE: 1/1/2013; DUTIES: NONE; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (6) HERITAGE VALLEY BUSINESS PARK LLC.; ADDRESS: 18 ONTARE HILLS LANE, SANTA BARBARA, CA 93105; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: INVESTMENT LLC.-DEVELOPMENT PROPERTY; CAPACITY: OWNER-PASSIVE; START DATE: 3/1/2005; DUTIES: NONE; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-17 |
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