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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-02-20 |
| MN | RA | APPROVED | 2013-11-20 |
| MT | RA | APPROVED | 2005-10-12 |
| NC | RA | APPROVED | 2005-10-12 |
| AK | RA | APPROVED | 2000-03-20 |
Branch Locations
5301 Sw Parkway, Bldg 2 Suite 300, Austin, TX 78735 • United States
250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States
Austin, TX • 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 | Austin | TX | 03/2008 | Present |
| City National Bank | Austin | TX | 11/2016 | Present |
(1) JUNGLE THEATER; ADDRESS: 2951 LYNDALE AVENUE SOUTH, MINNEAPOLIS, MN 55408; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PERFORMING ARTS THEATER; CAPACITY: BOARD OF DIRECTORS; START DATE: 4/1/2019; DUTIES: MEMBER OF BOARD OF DIRECTORS. OVERSEE POLICIES AND MAJOR DECISIONS OF ORGANIZATION; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (2) Name of Business/Entity: Karl Lambert Address: 200 Park Av. S. Minneapolis, MN 55415 Business is not Investment Related: Business Description: Rental property Capacity: Owner - Active State Date: 08/01/2019 Duties: Owner of property Hours Devoted per month: 1 Hours Devoted during securities hours per month: 0 (3) Name of Business/Entity: Park Av Lofts HOA Address: 200 Park Av. S. Minneapolis, MN 55415 Business is not Investment Related: Business Description: Condominium Association Capacity: Board of Directors State Date: 08/01/2019 Duties: Board of Directors of association Hours Devoted per month: 1 Hours Devoted during securities hours per month: 0 (4) NAME OF ENTITY: Humboldt Lofts HOA ADDRESS: 750 2nd St South, Minneapolis MN 55401 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Home owners association START DATE: 09.18.23 CAPACITY: Board of Directors * DUTIES: I will participate in decisions related to the Humboldt Lofts condominium building HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (5) NAME OF ENTITY: Reading Safe LLC ADDRESS: PO Box 5275, Austin, TX 78763 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational product START DATE: 06/01/24 CAPACITY: Owner - Active, Officer DUTIES: Owner and officer HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1988-11-23 |
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