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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2020-12-07 |
Branch Locations
10 E. Doty Street, Ste 1000, Madison, WI 53703 • United States
Madison, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Madison | WI | 06/2009 | 09/2016 |
| Rbc Capital Markets, Llc | Madison | WI | 09/2016 | 09/2019 |
| Cuna Mutual Group | Waverly | IA | 09/2019 | 12/2020 |
| Cuna Brokerage Services, Inc. | Waverly | IA | 09/2019 | 12/2020 |
| Rbc Capital Markets, Llc | Madison | WI | 12/2020 | Present |
1) Name of business: Goodman Waves Swim Team Business Description: Youth Swim and Dive Team Whether the business is investment-related: no Address: 325 W Olin Ave Madison, WI 53715 Capacity: Treasurer Start Date: 07/15/19 Duties: Goodman Waves are hosting the All-City Swim meet in July 2021. I will serve as treasurer for the All-City meet. I will work with other team members to facilitate setting budgets, receiving payments and donations and making payments to vendors in association with the meet. Hours devoted per month: 0 Hours devoted during securities hours per month: 0 (2) NAME OF ENTITY: Hilton Madison Monona Terrace ADDRESS: 9 E Wilson St Madison, WI 53703 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Hotel CAPACITY: Employee START DATE: 05/06/22 DUTIES: Shuttle bus driver. Take guests to and from the airport and local establishments. HOURS DEVOTED PER MONTH: 15 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-11-21 |
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