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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2008-12-02
  • NJ RA
    APPROVED
    Since 2008-12-02

Branch Locations

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

Basking Ridge, NJ • 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 Parsippany NJ 11/2008 Present
  • 11/2008 → Present
    Rbc Capital Markets
    Parsippany, NJ
Previous Registrations
  • 2005-05-24 → 2008-11-20
    J. B. Hanauer & Co.
    Parsippany, NJ
    Parsippany, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-06-23
S63 Uniform Securities Agent State Law Examination 2000-04-25
  • S65 Uniform Investment Adviser Law Examination
    2000-06-23
  • S63 Uniform Securities Agent State Law Examination
    2000-04-25

View on SEC IAPD

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