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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2019-10-31 |
| TX | RA | APPROVED_RES | 2019-10-21 |
Branch Locations
6710 North Scottsdale Road Suite 150, Scottsdale, AZ 85253-4451 • United States
Scottsdale, AZ • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B.C. Ziegler And Company | Scottsdale | AZ | 03/2016 | 03/2018 |
| Stifel, Nicolaus & Company, Incorporated | Middleton | WI | 03/2018 | 10/2019 |
| Rbc Capital Markets, Llc. | Scottsdale | AZ | 10/2019 | Present |
| City National Bank | Scottsdale | AZ | 11/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-28 |
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