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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-09-13 |
| UT | RA | APPROVED | 2017-01-06 |
Branch Locations
1260 E Stringham Avenue Suite 300, Salt Lake City, UT 84106-2963 • United States
Park City, UT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Salt Lake City | UT | 10/2005 | 01/2017 |
| Rbc Capital Markets, Llc | Salt Lake City | UT | 01/2017 | Present |
(1)I*75772 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PRIMARY CHILDRENS HOSPITAL FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: SALT LAKE CITY, UTAH 84158 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 11/19/2009 NUMBER OF HOURS DEVOTED: 8 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: RAISE MONEY FOR THE CHILDRENS HOSPITAL (2) PARK CITY PARTNERS; ADDRESS: PERSONAL RESIDENCE; BUSINESS DESCRIPTION: FAMILY LIMITED PARTNERSHIP; NOT INVESTMENT RELATED; START DATE: 01/03/2005; CAPACITY: PARTNER; DUTIES: NONE; HOURS DEVOTED PER WEEK: 15 MIN; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (3) PRIMARY CHILDRENS HOSPITAL FOUNDATION; ADDRESS: SALT LAKE CITY, UTAH; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: CHILDRENS' HOSPITAL; CAPACITY: DIRECTOR; START DATE: 02/06/2009; DUTIES: ATTEND BOARD MEETINGS FOR THE FOUNDATION; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-11-20 |
| S65 | Uniform Investment Adviser Law Examination | 1996-11-29 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-06 |
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