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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2023-03-14 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
401 Union Street Suite 3600, Seattle, WA 98101 • United States
Seattle, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Seattle | WA | 03/2008 | Present |
SOHAPPY FARMS LLC; ADDRESS: 103 HOOD HEAD SHINE, WA 98365; BUSINESS DESCRIPTION: GEODUCK AQUACULTURE; NOT INVESTMENT RELATED; START DATE: 01/01/2008; CAPACITY: BOARD OF DIRECTORS; DUTIES: AQUACULTURE MONITORING; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2002-06-07 |
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