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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-31 |
| CA | RA | APPROVED | 2002-05-28 |
Branch Locations
99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603 • United States
Morgan Hill, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | San Jose | CA | 03/2008 | Present |
| City National Bank | San Jose | CA | 06/2017 | Present |
(1) QUANTA LABORATORIES INC; 3199 DELA CRUZ BLVD, SANTA CLARA CA 95054; BUSINESS DESCRIPTION: ESS TESTING LABORATORY; START DATE: 1993; NON-PROFIT; BOARD OF DIRECTORS; DUTIES: NONE; HOURS DEVOTED TO THIS OBA PER MONTH: 2; HOURS DEVOTED DURING TRADING PER MONTH: NONE; (2) SAN JOSE YOUTH SYMPHONY; ADDRESS: 595 PARK AVENUE, STE 302, SAN JOSE, CA 95110; BUSINESS DESCRIPTION: YOUTH ORCHESTRA; NOT INVESTMENT RELATED; START DATE: 05/02/2018; CAPACITY: BOARD OF DIRECTORS/TREASURER; DUTIES: GENERAL OVERSIGHT, SERVING AS A TREASURED WITH ABSOLUTELY NO DIRECT CONTACT WITH CORPORATE MONIES AS A SIGNATORY NOR RECEIVER, SERVE AS AN ADVISORY OVERSIGHT CAPACITY. IN ADDITION, SERVING ON THE FINANCE ADVISORY COMMITTEE; HOURS DEVOTED PER MONTH: 4; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 1987-04-03 |
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