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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-10-17 |
| TX | RA | APPROVED | 2022-10-14 |
Branch Locations
16155 North 83Rd Ave. Ste 205, Peoria, AZ 85382 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Phoenix | AZ | 08/2014 | 10/2022 |
| Baird | Peoria | AZ | 10/2022 | Present |
(1) HARDIN-SIMMONS UNIVERSITY BOARD OF DEVELOPMENT; ADDRESS: 2200 HICKORY ABILENE, TX 79698; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PRIVATE UNIVERSITY; CAPACITY: COMMITTEE/COUNIL MEMBER (NOT ASSOCIATED WITH THE BOARD OF DIRECTORS): START DATE: 03/20/2019; DUTIES: SERVE ON BOARD OF DEVELOPMENT HELPING SET GOALS FOR THE UNIVERSITY; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-23 |
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