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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-23 |
| CO | RA | APPROVED | 2021-08-16 |
| TX | RA | APPROVED | 2021-08-16 |
Branch Locations
5251 Dtc Parkway Suite 1200, Greenwood Village, CO 80111-2737 • United States
Parker, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Denver | CO | 07/2013 | 08/2021 |
| Rbc Capital Markets, Llc | Greenwood Village | CO | 08/2021 | Present |
| City National Bank | Greenwood Village | CO | 09/2021 | Present |
LENA by Cassandra, LLC / 4656 Carefree Trail Parker,CO 80134 / Partnership/ Retailers (Apparel, Food, General) / Design, manufacture and sell baby bags / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / My daughters' business, will advise them on business matters / Start Date 11/1/15 / none / United States / Cerro Gordo County and Franklin County, Sheffield, IA 50475 / Other / Iowa Farmland inherited from my husband's parents / Collect rent on property inherited from husband's parents / Investment in Company?: YES; 25% / Start Date 12/31/2018 (3) NAME OF ENTITY: Iowa Farmland ADDRESS: Cerro Gordo county and Franklin county INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Lease farmland CAPACITY: Owner - Passive START DATE: 9/1/2018 DUTIES: none HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Colorado Golf Club ADDRESS: 8000 Preservation Trail, Parker, CO 80134 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Golf Club CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 7/5/2013 DUTIES: Recommendations on social activities HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 2002-12-27 |
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