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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2019-10-07 |
| TX | RA | APPROVED_RES | 2019-10-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Cedar Rapids | IA | 03/2008 | 10/2019 |
| Wells Fargo Clearing Services, Llc | Coralville | IA | 10/2019 | Present |
RENTAL PROPERTY, INVT RELATED, LAKE DELTON, WI, 100% OWNERSHIP, START DATE 4/1/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, PROPERTY OWNER. ISLAND POINTE OWNERS ASSOCIATION, NOT INV RELATED, LAKE DELTON, WI, PRESIDENT, START 9/1/22, 12 HRS PER MONTH, 0 HRS DURING TRADING, RUN MONTHLY BOARD MEETINGS, WORK WITH PROPERTY MANAGER AND OWNERS TO RESOLVE ANY ISSUES. KIRKWOOD COMMUNITY COLLEGE FOUNDATION; NOT INV. RELATED; CEDAR RAPIDS, IA; INVESTMENT COMMITTEE MEMBER; START DATE 7/1/2017; 1 HOUR PER MONTH; 0 HOURS DURING BUSINESS; DUTIES: ATTEND QUARTERLY MEETINGS AND LISTEN TO REPRESENATIVES REGARDING PERFORMANCE OF THE PORTFOLIO.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1989-03-23 |
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