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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-10-03
WI RA APPROVED 2019-10-03
  • TX RA
    APPROVED
    Since 2019-10-03
  • WI RA
    APPROVED
    Since 2019-10-03

Branch Locations

2465 Marina Circle Suite 500, Green Bay, WI 54304 • United States

Green Bay, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Green Bay WI 11/1999 10/2019
Bank Of America, N.A. Green Bay WI 06/2011 10/2019
Rbc Capital Markets, Llc. Green Bay WI 10/2019 Present
City National Bank Green Bay WI 10/2019 Present
Previous Registrations
Other Businesses

(1) I*44892 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BELLIN COLLEGE INVESTMENT RELATED: N ADDRESS OF BUSINESS: GREEN BAY, WISCONSIN 54311 NATURE OF BUSINESS: OTHER, COLLEGE POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 2/2/2015 NUMBER OF HOURS DEVOTED: 12 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: HELP ADVISE ON ACTIVITIES THE COLLEGE CAN UTILIZE TO INCREASE STUDENT ENROLLMENT, SATISFACTION AS WELL AS VISIBILITY AND SUSTAINABILITY. (2) Name of Entity: 2465 Marina Circle LLC Address - 2465 Marina Circle Green Bay, Wisconsin 54311 Business Description - Commercial building Business is not investment related Projected Start Date: 03/11/20 Capacity: Owner - Active Duties Performed: Primarily capital. Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 1 (3) NAME OF ENTITY: Bellin College ADDRESS: 3201 Eaton Road Green Bay, WI 54311 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Secondary Education CAPACITY: Board of Directors * START DATE: 1/1/2022 DUTIES: Use previous experience and offer recommendations of the direction of the College and any new programs they might look at offering students. HOURS DEVOTED PER MONTH: 0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Fairway Sandblasting and Painting ADDRESS: 115 Union St., Holmen WI 54636 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Commercial sandblasting and painting. CAPACITY: Owner - Passive, Officer START DATE: 10/30/16 DUTIES: Collaboration on strategy and future direction of the company HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.25

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-12-06
S66 Uniform Combined State Law Examination 2000-05-17
  • S65 Uniform Investment Adviser Law Examination
    2004-12-06
  • S66 Uniform Combined State Law Examination
    2000-05-17

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