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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2025-04-14 |
| NM | RA | APPROVED | 2022-10-17 |
| TX | RA | APPROVED_RES | 2022-10-17 |
Branch Locations
6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132 • United States
Albuquerque, NM • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Albuquerque | NM | 03/2009 | 10/2022 |
| Rbc Capital Markets, Llc | Albuquerque | NM | 10/2022 | Present |
(1) NAME OF ENTITY: Mandy's Farm ADDRESS: 7511 4th St NW, Albuquerque, New Mexico, 87107 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE:03/02/2025 CAPACITY: Board of Directors DUTIES: I sit on the board of facilities for Mandy's Farm. my primary responsibility is to help raise funds to maintain the facilities at the farm. the second responsibility is to vote on where monies should be spent when it comes to the maintenance HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-25 |
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