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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-08-30
WI RA APPROVED 2019-08-30
  • TX RA
    APPROVED
    Since 2019-08-30
  • WI RA
    APPROVED
    Since 2019-08-30

Branch Locations

8613 Us Hwy. 51 N, Minocqua, WI 54548 • United States

Minocqua, WI • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Minocqua WI 05/2008 08/2019
Bank Of America,N.A. Minocqua WI 06/2011 08/2019
Rbc Capital Markets, Llc. Minocqua WI 08/2019 Present
City National Bank Minocqua WI 09/2019 Present
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: Trinity Lutheran Church and School ADDRESS: 8781 Brunswick Road Minocqua WI 54548 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Religious Institution START DATE: 01/01/2025 CAPACITY: Director, Officer DUTIES: Role is adjusting to President. General oversight of church council with reporting to congregation, assisting with budget review on annual basis. Joint signer on church bank account with treasurer. if being a joint signer an issue, i can have another director from the council sign the bank card. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (2) Name of Entity - Trinity Lutheran Church & School Address - 8781 Brunswick Road Minocqua, WI 54548 Business Description - Elder and Basketball Coach Business is not investment related Projected Start Date: 09/02/2019 Capacity: Director Duties Performed: Elder work is primarily focused on encouraging members for regular worship attendance, my other role is the coach of the grade school basketball team. Hours Devoted to this OBA Per Month: 2 Hours Devoted to this OBA during business hours: 1 (3) Name of Entity: Lakeland Basketball Boosters Inc Non-Investment related Address of Entity: 7418 Trailwood Drive Minocqua, WI 54548 Nature of OBA: Basketball Booster Club for youth and high school students Position/Title/Relationship: Officer, Board of Directors * Projected start date: 06/08/23 Time devoted: 1hour; 0 during securities trading hours Duties: Run board meetings, serve in governing capacity as we review monies collected vs. spent on program. (4) NAME OF ENTITY: MTPropLD, LLC ADDRESS: 8260 Voss Road Minocqua wi 54548 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 27/06/2025 CAPACITY: Owner DUTIES: Sole member of LLC HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (5) NAME OF ENTITY: Trinity Lutheran Church and School ADDRESS: 8781 Brunswick Road, Minocqua, WI 54548 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Religious Institution START DATE: Jan 01, 2025 CAPACITY: Director, Officer DUTIES: President (oversight, budget review, joint signer on bank account) HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-18
  • S66 Uniform Combined State Law Examination
    2003-09-18
Designations
Other Names
  • Matthew Aaron Kock

View on SEC IAPD

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