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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2002-11-19
  • CA RA
    APPROVED
    Since 2002-11-19

Branch Locations

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

Mendham, NJ • 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
Rbc Capital Markets, Llc Florham Park NJ 03/2008 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-09
S63 Uniform Securities Agent State Law Examination 1996-01-24
  • S65 Uniform Investment Adviser Law Examination
    1998-03-09
  • S63 Uniform Securities Agent State Law Examination
    1996-01-24

View on SEC IAPD

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