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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-02-19 |
| CO | RA | APPROVED | 1999-01-01 |
Branch Locations
1801 California Street Suite 3900, Denver, CO 80202-5822 • United States
Denver, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Denver | CO | 03/2008 | Present |
| City National Bank | Denver | CO | 05/2018 | Present |
Name of Entity: Family Farm Address of Business: 9134 15th Street NE, McHenry, ND Business Description: Family Farm Business is not investment related Projected Start Date - 01/01/2005 Projected End Date - No anticipated End Date Capacity - Active Owner 1.25 hours devoted to this OBA per month 0 hours devoted during security trading hours per month Name of Entity: Rental House Address of Business: 1220 National Ave, New Bern North Carolina Business Description: Rental Property Business is not investment related Projected Start Date - 01/07/2008 Projected End Date - 03/15/2018 Capacity - Active Owner Duties Performed - Maintain Condo Less than 1 hour devoted to this OBA per month 0 hours devoted during security trading hours per month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-17 |
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