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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-04-30 |
| CA | RA | APPROVED | 2018-05-07 |
Branch Locations
345 California Street, San Francisco, CA 94104-2642 • United States
San Francisco, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | San Francisco | CA | 03/2009 | 04/2018 |
| Rbc Capital Markets, Llc. | San Francisco | CA | 04/2018 | Present |
| City National Bank | San Francisco | CA | 08/2018 | 12/2022 |
| City National Bank | San Francisco | CA | 05/2023 | Present |
(1) THE AMERICAN UNIVERSITY OF PARIS; ADDRESS: LA TOUR MAUBOURG, PARIS 75007, FRANCE; BUSINESS DESCRIPTION: NON-FOR-PROFIT UNIVERSITY; CAPACITY: TRUSTEE; START DATE: 5/1/2009; DUTIES: TRUSTEE ON TWO COMMITTEES- STUDENT AFFAIRS AND REAL ESTATE; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED PER MONTH DURING SECURITIES HOURS: 1. (2) PARIS RENTAL APARTMENT, VRBO; ADDRESS: 8 RUE HUYSMANS 75006 PARIS FRANCE; BUSINESS DECRIPTION; RENTAL PROPERTY: OWNER-ACTIVE; CAPACITY: MANAGE THE RENTAL PROCESS; START DATE: 5/4/2009; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1. (3) THRIVE NETWORK OR EAST MEETS WEST FOUNDATION; ADDRESS: 1611 TELEGRAPH AVE SUITE 708 OAKLAND, CA 94612; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT COORDINATING WATER AND HEALTH PROJECT IN SOUTHWEST ASIA; CAPACITY: DIRECTOR/BOARD OF DIRECTORS; START DATE: 03/11/2019; DUTIES: I WILL ADVISE AND HELP THE ORGANIZATION WITH OPERATIONAL AND FUNDRAISING ACTIVITIES; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 01; (4) NAME OF ENTITY: LES OSTHIEUX; ADDRESS: LES YVETEAUX NORMANDY, FRANCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PROPERTY RENTAL; CAPACITY: OWNER-ACTIVE; START DATE: 10/2019; DUTIES: I OWN A PROPERTY AND RENT A SMALL PART OF IT; HOURS DEVOTED PER MONTH: .1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-22 |
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