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JAMES PATRICK DARBY II
James Patrick Darby
CRD#: 6426424
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 750 TOWN AND COUNTRY BLVD
SUITE 325
HOUSTON, TX 77024-4576
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2018 (3 years)2 FIRMS2018 - 2024 (5 years)2 FIRMS2024 - Present (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2015 - 2015 (<1 year)
License(s)

State Registrations

B
Texas 6/27/2024

IA
Texas 6/27/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Houston, TX
Registered with this firm since 6/27/2024

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Houston, TX
Registered with this firm since 6/27/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/17/2018 - 06/18/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
B
12/17/2018 - 06/18/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
IA
10/23/2015 - 12/18/2018 USCA RIA LLC (CRD#:152170) HOUSTON, TX
B
08/31/2015 - 12/18/2018 USCA SECURITIES LLC (CRD#:103789) HOUSTON, TX
B
05/20/2015 - 09/02/2015 CHARLES SCHWAB & CO., INC. (CRD#:5393) AUSTIN, TX
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.