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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2020-12-07
  • WI RA
    APPROVED
    Since 2020-12-07

Branch Locations

10 E. Doty Street, Ste 1000, Madison, WI 53703 • United States

Madison, WI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 06/2009 → 09/2016
    Morgan Stanley Smith Barney
    Madison, WI
  • 09/2016 → 09/2019
    Madison, WI
  • 09/2019 → 12/2020
    Cuna Mutual Group
    Waverly, IA
  • 09/2019 → 12/2020
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 12/2020 → Present
    Madison, WI
Previous Registrations
  • 2019-10-02 → 2020-12-09
    Cuna Brokerage Services, Inc.
    Fort Atkinson, WI
    Jefferson, WI
  • 2016-09-06 → 2019-10-04
    Madison, WI
  • 2009-06-01 → 2016-09-14
    Middleton, WI
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Madison, WI
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-21
  • S66 Uniform Combined State Law Examination
    2003-11-21

View on SEC IAPD

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