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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2022-12-07 |
Branch Locations
401 Union Street Suite 3600, Seattle, WA 98101 • United States
18500 W Corporate Drive Suite 100, Brookfield, WI 53045 • United States
Muskego, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 07/2013 | 09/2016 |
| Northwestern Mutual Investment Services Llc | Milwaukee | WI | 07/2013 | 09/2016 |
| U.S. Bancorp Investments, Inc. | West Allis | WI | 05/2017 | 06/2021 |
| Global View Capital Management, Ltd | Waukesha | WI | 10/2016 | 05/2017 |
| Rbc Capital Market, Llc | Minneapolis | MN | 08/2021 | Present |
(1) NAME OF ENTITY: Muskego Lacrosse Club ADDRESS: S76W18202 Janesville Road, Muskego, Wisconsin 53150 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jan 01, 2026 CAPACITY: Other DUTIES: Muskego Lacrosse Club, non-voting Board Member-Volunteer Coordinator. Responsibilities include communicating volunteer opportunities, creating volunteer sign-ups, and tracking activity for participant families who are required to commit to 2 volunteer opportunities per Season. No financial responsibilities. However, my son does receive a 50% discount on Registration Fees given my volunteerism to Muskego Lacrosse Club in this regard. There will be no time spent on this volunteer activity during RBC working hours. Muskego Lacrosse Club is a non-profit organization run by volunteer Board Members and Officers. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2017-05-31 |
| S65 | Uniform Investment Adviser Law Examination | 1998-11-02 |
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