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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2017-11-07 |
| TX | RA | APPROVED | 2017-11-03 |
Branch Locations
3430 East Sunrise Drive Suite 250, Tucson, AZ 85718-3237 • United States
Tucson, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services | Tucson | AZ | 06/2005 | 11/2017 |
| Rbc Capital Markets, Llc | Tucson | AZ | 11/2017 | Present |
(1) MESQUITE CREEK II HOME OWNERS ASSOCIATION; ADDRESS: 4803 E. 5TH STREET, SUITE 103 TUCSON AZ PO BOX 57610; BUSINESS DESCRIPTION: REAL ESTATE; NOT INVESTMENT RELATED: START DATE: 02/28/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED TO THIS OBA PER MONTH: N/A; HOURS DURING TRADING PER MONTH: NONE; (2) EDUCATIONAL ENRICHMENT FOUNDATION; ADDRESS: 3809 E. 3RD STREET, TUCSON, AZ 85716; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 09/01/2010; CAPACITY: BOARD OF DIRECTORS; DUTIES: FINANCE COMMITTEE; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE. (3) CASCADE FOUNDATION OF SOUTHERN ARIZONA; ADDRESS: PO BOX 40397 TUCSON, AZ 85717; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: TO PROVIDE A LOCAL NETWORK TO THE BLEEDING DISORDER COMMUNITY OF SOUTHERN ARIZONA; CAPACITY: ASSOCIATE BOARD MEMBER; START DATE: 11/3/2017; DUTIES: FUND RAISING, REVIEWING SCHOLARSHIP REQUESTS, VOTING ON FUNDING REQUESTS AND DISTRIBUTIONS; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (4) Name: Youtube (Channel for my son, Mateo Martinez) Address: Online YouTube Channel for "Mateo Francisco" Business Description: Entertainment Business is not investment related Projected Start Date: 11/02/20 Capacity: Other Duties Performed: I simply receive funds Mateo has earned, then I transfer them to him via Zelle (Wells Fargo). I do not keep any of the funds. I have appeared on a few videos "reacting" to musicians as a guest on his channel. Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-10-24 |
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