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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-02-19 |
| IA | RA | APPROVED | 2009-03-06 |
Branch Locations
1250 Nw 128Th Street Suite 200, Clive, IA 50325-7474 • United States
Ankeny, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets | Des Moines | IA | 03/2009 | Present |
| City National Bank | Clive | IA | 03/2020 | Present |
1) NAME OF ENTITY: Coaches vs. Cancer; ADDRESS: 1717 Ingersoll Avenue, Suite 111 Des Moines, IA 50309 ; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Non-profit raising money for American Cancer Society; CAPACITY: Board of Ambassador; START DATE: 01/2020; DUTIES: Organize and gain support for fundraising events; HOURS DEVOTED PER MONTH: 4; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: .5; 2) Name: Farm Land Address: Dallas County Iowa Business Description: Farm land Business is not investment related Projected Start Date: 09/01/20 Capacity: Owner - Passive Duties Performed: Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-26 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-25 |
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