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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-12-18 |
| WI | RA | APPROVED | 2008-10-08 |
Branch Locations
833 E. Michigan Street Suite 1100, Milwaukee, WI 53202 • United States
Pewaukee, WI • 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, Llc | Milwaukee | WI | 10/2008 | Present |
| Nancy'S Basement | Pewaukee | WI | 04/2012 | Present |
1) NANCY'S BASEMENT/PROPERTY RENTAL; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; HOUSE RENTAL; START DATE 8/9/2018; CAPACITYl: SOLE PROPRIETOR; DUTIES: RENTING MY HOME: 1 HOUR DURING THE WEEK AND 0 HOURS DURING TRADING HOURS. 2) NAME OF ENTITY: Alcoholic's Anonymous ADDRESS: General Service Office New York, NY INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Support Systems for AA CAPACITY: Treasurer START DATE: 01/03/23 DUTIES: Collect funds and pay bills HOURS DEVOTED PER MONTH: 1-2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 1988-04-21 |
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