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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-09-06 |
| WA | RA | APPROVED | 2023-09-06 |
Branch Locations
401 Union Street Suite 3600, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Seattle | WA | 05/2014 | 09/2023 |
| Rbc Capital Markets, Llc | Seattle | WA | 09/2023 | Present |
(1) RENTAL PROPERTY; INVESTMENT RELATED; SEATTLE, WA; CONDO RENTAL; 100% OWNERSHIP WITH SPOUSE; START DATE 5/2004; 0-1 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES - RENTING PROPERTY WHEN VACANT; COLLECTING RENT; CLEANING. (2) CITISCAPE ASSOCIATION; NOT INVESTMENT RELATED; SEATTLE, WA; BOARD MEMBER / VICE PRESIDENT; CONDO ASSOCIATION; START DATE 3/2011; 2 HRS PER MONTH; 0 HRS DURING TRADING. (3) NAME OF OTHER BUSINESS: 2704 9th Ave W, Seattle, WA 98119 / INVESTMENT RELATED?: Y / ADDRESS: 2704 9th Ave W/ NATURE OF THE BUSINESS: Real Estate, We rent the Queen Anne house that we used to live in. / POSITION: Proprietor / owner / DUTIES:I will find renters for the place and help with any maintenance or repairs that are needed. / START DATE: 9/25/2020 / HOURS DEVOTED TO BUSINESS: NA (4) NAME OF OTHER BUSINESS:1504 Aurora Ave N #107, Seattle, 98109 / INVESTMENT RELATED?: Yes / ADDRESS: 1504 Aurora Ave N #107, Seattle, 98109 / NATURE OF THE BUSINESS: Renting, cleaning, managing condo rental / POSITION: Renting the condo. / DUTIES: Rent, manage, clean, fix condo./ START DATE: 2/23/2023 / HOURS DEVOTED TO BUSINESS:NA
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-12 |
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