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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-03-29 |
| WI | RA | APPROVED | 2021-03-29 |
Branch Locations
10 E. Doty Street, Ste 1000, Madison, WI 53703 • United States
Waunakee, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Johnson Bank | Madison | WI | 03/2013 | 09/2018 |
| Invest Financial Corp. | Tampa | FL | 03/2013 | 09/2018 |
| Lpl Financial Llc | Madison | WI | 02/2018 | 09/2018 |
| Charles Schwab & Co., Inc. | Middleton | WI | 06/2019 | 03/2021 |
| Charles Schwab Bank | Middleton | WI | 06/2019 | 03/2021 |
| Unemployed | Madison | WI | 09/2018 | 05/2019 |
| Rbc Capital Markets, Llc | Madison | WI | 03/2021 | Present |
| City National Bank | Madison | WI | 05/2023 | Present |
1) NAME: Steeplechase Condominium Association Non-Investment related ADDRESS: Steeplechase Drive Waunakee, WI 53597 Nature of OBA: Condominium Association Position/Title/Relationship: Committee/Council Member (not associated with the Board of Directors) Start Date: 07/27/22 Time Devoted: 0.25 0 time during securities trading hours Duties: Auditing spending, sitting in on investment committee meetings. We discuss the various CD investments owned by the association. In some cases the treasurer will recommend buying or selling and asking the group for opinions (2) NAME OF ENTITY: Bethel Lutheran Church ADDRESS: 312 Wisconsin Ave, Madison, Wisconsin 53703 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Religious Institution START DATE: Jan 14, 2026 CAPACITY: Committee/Council Member DUTIES: Sitting on the Bethel Foundation investment committee (Committee Member) HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-08 |
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