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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-06-28 |
| MN | RA | APPROVED | 2015-01-22 |
Branch Locations
1420 London Road Suite 201, Duluth, MN 55805-2425 • United States
Duluth, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Duluth | MN | 11/2014 | Present |
| City National Bank | Duluth | MN | 12/2016 | Present |
(1) NAME OF ENTITY: Maple Village Home Owners Association ADDRESS: 4363 Sugar Maple Drive Hermantown, MN 55811 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Home Owner's Association CAPACITY: Board of Directors *, Treasurer START DATE: 1/01/22 DUTIES: Approve/pay expenses and prepare HOA budget HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: Royal Order Of Jesters ADDRESS: 5725 Liberty Crossing Drive, Indianapolis, IN 46254 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 01.17.25 CAPACITY: Treasurer DUTIES: I am responsible for the collection of annual dues, payment of periodic expenses/reimbursements, and overall management of the local Court's checking account HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) Name of Entity: GND Development Alliance Address: 2631 West Superior Street Suite 2 Duluth MN 55806 Investment/Not Investment Related: No Business Description: Foundation/Charitable Institution Start Date: Oct 17, 2025 Capacity: Board of Directors Duties: New Member of the Board of Directors Hours Devoted Per Month: 0 - 4 Hours Hours Devoted During Securities Hours Per Month: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-22 |
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