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Richard Joseph Smalley

Rbc Capital Markets, LLC

Westport, CT

Fairfield, CT

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-11-12
  • CT RA
    APPROVED
    Since 2024-11-12

Branch Locations

285 Riverside Avenue Suite 335, Westport, CT 06880 • United States

Fairfield, CT • 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
Citigroup Global Markets Inc. Greenwich CT 09/2002 10/2024
Morgan Stanley Smith Barney Greenwich CT 06/2009 10/2024
Morgan Stanley Private Bank, National Association New York NY 01/2015 10/2024
Rbc Capital Markets, Llc Westport CT 10/2024 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 10/2024
City National Bank Westport CT 01/2025 01/2025
  • 09/2002 → 10/2024
    Citigroup Global Markets Inc.
    Greenwich, CT
  • 06/2009 → 10/2024
    Morgan Stanley Smith Barney
    Greenwich, CT
  • 01/2015 → 10/2024
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 10/2024 → Present
    Rbc Capital Markets, Llc
    Westport, CT
  • 01/2015 → 10/2024
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 01/2025 → 01/2025
    City National Bank
    Westport, CT
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-13
S63 Uniform Securities Agent State Law Examination 1988-02-19
  • S65 Uniform Investment Adviser Law Examination
    2005-10-13
  • S63 Uniform Securities Agent State Law Examination
    1988-02-19
Other Names
  • Rich Smalley

View on SEC IAPD

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