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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 2019-09-03
WI RA APPROVED 2019-08-30
  • TX RA
    APPROVED
    Since 2019-09-03
  • WI RA
    APPROVED
    Since 2019-08-30

Branch Locations

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

Harshaw, 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
Rbc Capital Markets, Llc. Minocqua WI 08/2019 Present
Previous Registrations
Other Businesses

(1) I*70633 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SETTLERS MILL OF MINOCQUA INVESTMENT RELATED: N ADDRESS OF BUSINESS: MINOCQUA, WISCONSIN 54548 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/31/2003 NUMBER OF HOURS DEVOTED: 120 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MINI GOLF COURSE WITH FROZEN CUSTARD STAND - NO RESPONSIBITIES - PART OWNER WITH HUSBAND . (2) Name of Entity - Settlers Mill of Minocqua Address - PO Box 76 Minocqua, WI 54548 Business Description - Miniature golf course with custard stand Business is not investment related Projected Start Date: 04/01/2003 Capacity: Sole Proprietor, Owner - Passive Duties Performed: Business is run by spouse. I help minimally with landscaping duties on weekends Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-12-19
  • S63 Uniform Securities Agent State Law Examination
    1996-12-19
Other Names
  • Christine Marie Ullius
  • Christine Marie Marin

View on SEC IAPD

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