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Current Employers
Rbc Rochdale, Llc

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2016-01-12
  • CO RA
    APPROVED
    Since 2016-01-12

Branch Locations

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

Elizabeth, CO • 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
Cnr Securities, Llc New York NY 01/2016 Present
  • 01/2016 → Present
    Cnr Securities, Llc
    New York, NY
Previous Registrations
  • 2011-01-25 → 2016-01-06
    Curian Capital, Llc
    Denver, CO
  • 2009-06-23 → 2010-11-15
    Cetera Investment Services Llc
    Lakewood, WA
  • 2007-11-12 → 2009-04-20
    Seattle, WA
  • 2006-01-01 → 2007-11-02
    Seattle, WA
Other Businesses

BUSNESS NAME: KEVIN AND WANDA MICINTOSH; INVESTMENT RELATED: YES; ADDRESS: 5010 TIMBER RIDGE DRIVE, ELIZABETH, CO 80107; NATURE: INVESTMENT PROPERTY; POSITION/TITLE/RELATIONSHIP: LANDLORD; START DATE: NOV 1, 2017; HOURS/MONTH: 1; HRS DURING TRADING HOURS: 0; DUTIES: COLLECT RENT NAME: WeiMac, LLC; ADDRESS: 11385 Fox View Place, Franktown, CO 80116; Non-Investment related; Our LLC is buying a Hotworx franchise. This is a fitness business, membership based. ; Limited Partner; Start Date: 03/30/22; 4 hours per month; 0 hours during securities trading hours; I will provide input on various decisions made in running the business. I do not have day to day responsibilities.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-22
S63 Uniform Securities Agent State Law Examination 2001-03-29
  • S65 Uniform Investment Adviser Law Examination
    2005-12-22
  • S63 Uniform Securities Agent State Law Examination
    2001-03-29

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