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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
ND RA APPROVED 2022-10-18
TX RA APPROVED_RES 2022-10-14
  • ND RA
    APPROVED
    Since 2022-10-18
  • TX RA
    APPROVED_RES
    Since 2022-10-14

Branch Locations

4207 28Th Avenue South 2Nd Floor, Fargo, ND 58104 • United States

Fargo, ND • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Thief River Falls MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Thief River Falls MN 11/2016 10/2022
Rbc Capital Markets, Llc Fargo ND 10/2022 Present
Previous Registrations
  • 2011-01-03 → 2022-10-19
    Sioux Falls, SD
    Fargo, ND
    Thief River Falls, MN
    Thief River Falls, MN
    Bismarck, ND
    Gilbert, AZ
  • 2001-04-03 → 2011-01-03
    Wells Fargo Investments, Llc
    Thief River Falls, MN
    Fargo, ND
    Fargo, ND
    Fargo, ND
Other Businesses

1) 300 BROADWAY HOMEOWNERS ASSOCIATION; NOT INVESTMENT RELATED; FARGO,ND; START DATE 01/01/2020; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETIGNS TO DISCUSS THE WELL-BEING OF THE 300 BROADWAY PROPERTY AND GOVERNING THE PROPERTY FOR THE TENANTS. 2) NAME OF ENTITY: Hope Lutheran ADDRESS: Fargo, ND 58103 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Church CAPACITY: Board of Directors * START DATE: 10/01/19 DUTIES: Review executive committee agenda and daily church business HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: YMCA ADDRESS: Fargo, ND 58102 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Fitness and Family Center CAPACITY: Director START DATE: 10/01/16 DUTIES: General business advice HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) Name of Entity: Fellowship of Christian Athletes Non-Investment related Address of Entity: 3550 38th Ave S, Unit 103, Fargo, ND 58102 Nature of OBA: Serving High School Youth/Athletes Position/Title/Relationship: Board of Directors * Start Date: 03/15/23 Time Devoted: 1 hour; 0 during securities trading hours Duties: Monthly board meetings; Actively involved in new staff onboarding. Identifying donors and raising funds to help accomplish FCA's mission. 5) NAME OF ENTITY: NDSU Development Foundation ADDRESS: 1241 North University Drive Fargo, ND 58102 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Support the mission of North Dakota State University CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 10/20/20 DUTIES: Fulfilling the mission of building enduring relationships that maximize advocacy and philanthropy to support NDSU HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (6) NAME OF ENTITY: Krats, LLC ADDRESS: 300 Broadway Unit 401 Fargo NORTH DAKOTA 58102 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 18/07/2025 CAPACITY: Other DUTIES: Property management HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-06-25
S63 Uniform Securities Agent State Law Examination 1990-02-02
  • S65 Uniform Investment Adviser Law Examination
    1993-06-25
  • S63 Uniform Securities Agent State Law Examination
    1990-02-02

View on SEC IAPD

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