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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2009-05-01 |
Branch Locations
Two Portland Square 5Th Floor, Portland, ME 04101-4088 • United States
Cape Elizabeth, ME • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets | Portland | ME | 05/2009 | Present |
(1) NAME OF ENTITY: New England Fiddle Ensemble ADDRESS: NE Fiddle Ensemble 501C3 P.O. Box 77 Nottingham NH 03290 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: 11/08/2025 CAPACITY: Board of Directors DUTIES: I am on the Board of Directors for the NE Fiddle Ensemble. They are a community based orchestra. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-28 |
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