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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2005-10-19
  • TX RA
    APPROVED
    Since 2005-10-19

Branch Locations

2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859 • United States

Houston, TX • 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 Houston TX 03/2008 Present
Other Businesses

(1)FGMS PARTNERS; ADDRESS: 2204 LOUISIANA 2ND FLOOR HOUSTON, TX 77002; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PARTNERSHIP FORMED TO INVEST IN PRIVATE INVESTMENTS; CAPACITY: PARTNER; START DATE: 12/01/2018; DUTIES: PERIODIC REVIEW OF EXISTING AND POTENTIAL PRIVATE INVESTMENTS; HOURS DEVOTED PER MONTH: 00; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; (2) PURPLECAT PARTNERS; ADDRESS: 2204 LOUISIANA 2ND FLOOR HOUSTON, TX 77002; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PARTNER FORMED TO INVEST IN PRIVATE INVESTMENTS; CAPACITY: PARTNER; START DATE: 07/30/2015; DUTIES: REVIEW PRIVATE INVESTMENTS OPPORTUNITIES WITH MY PARTNER; HOURS DEVOTED PER MONTH: 00; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; (3) LANDCO OPPORTUNITY LLC; ADDRESS: 2204 LOUISIANA 2ND FLOOR HOUSTON, TX 77002; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PARTNER FORMED TO INVEST IN PRIVATE INVESTMENTS; CAPACITY: PARTNER; START DATE: 03/16/2017; DUTIES: REVIEW OF CURRENT AND POTENTIAL PRIVATE INVESTMENTS OPPORTUNITIES WITH MY PARTNERS; HOURS DEVOTED PER MONTH: 00; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; 4) NAME OF ENTITY: Houston Jewish Community Foundation ADDRESS: 5603 S Braeswood Blvd Houston, TX 77096 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Philanthropic Community Foundation CAPACITY: Board of Directors * START DATE: 10/01/21 DUTIES: General governance as member of Board of Directors HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-06-18
S66 Uniform Combined State Law Examination 1998-01-23
S63 Uniform Securities Agent State Law Examination 1992-12-11
  • S65 Uniform Investment Adviser Law Examination
    2001-06-18
  • S66 Uniform Combined State Law Examination
    1998-01-23
  • S63 Uniform Securities Agent State Law Examination
    1992-12-11
Other Names
  • Les Fox
  • Leslie Fox

View on SEC IAPD

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