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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-06-10
TX RA APPROVED 2022-06-10
  • IL RA
    APPROVED
    Since 2022-06-10
  • TX RA
    APPROVED
    Since 2022-06-10

Branch Locations

111 S Wacker Drive Suite 3200, Chicago, IL 60606 • United States

Chicago, IL • 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
Jpmorgan Chase Bank, N.A. Chicago IL 10/2010 06/2022
J.P. Morgan Securities Llc Chicago IL 10/2008 06/2022
Rbc Capital Markets, Llc Chicago IL 06/2022 Present
City National Bank Chicago IL 08/2022 Present
Previous Registrations
Other Businesses

(1) Entity Name: UCAN Investment related: Yes Address: 3605 Chicago, IL ucanchicago.org Nature of the other business: UCAN offers over 30 programs focused on healing trauma, building strong families, educating youth and preventing violence. Position/Title/Relationship: Advisory Board Member Start Date: 06-Mar-2014 Approximate # of hours a month: minimal Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Role of Board is to assist and enhance fund raising for the organization (2) Entity Name: UCAN Non-Investment related ADDRESS: 3605 W. Fillmore Chicago, IL. 60624 Nature of OBA: Help Kids With Trauma Position/Title/Relationship: Committee/Council Member (not associated with the Board of Directors); Resource Developement Board/Committee Start Date: 03/13/13 Time devoted: 2 hours every month; 0 during securities trading DUTIES: Raise funds for the non for profit (3) NAME OF ENTITY: UCAN ADDRESS: 3605 W. Fillmore Chicago IL 60624 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Oct 02, 2017 CAPACITY: Board of Directors DUTIES: Help Raise fund for the Charity HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-10-01
S63 Uniform Securities Agent State Law Examination 1987-07-10
  • S65 Uniform Investment Adviser Law Examination
    1993-10-01
  • S63 Uniform Securities Agent State Law Examination
    1987-07-10
Other Names
  • Joseph Charles Hadsell

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