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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-08-23 |
| TX | RA | APPROVED | 2023-08-18 |
Branch Locations
3550 Lenox Road Suite 1950, Atlanta, GA 30326 • United States
Cotuit, MA • United States
Atlanta, GA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Atlanta | GA | 04/2008 | 08/2023 |
| Rbc Capital Markets, Llc | Atlanta | GA | 08/2023 | Present |
1) ESOP Association New South Chapter / 1200 18th Street NW Washington, DC 20036 / United States / Association (e.g. Trade or Industry, Sport)/ Services (Business, Professional, Support) / Raising awareness for ESOPs / Officer / sit on the executive committee and help with fundraising for the organization. / Start Date 9/17/2019 / 2) NAME OF ENTITY: ESOP Association ADDRESS: 200 Massachusetts Ave NW, Suite 410, Washington DC 20001 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Employee Ownership START DATE: 06.15.23 CAPACITY: Officer DUTIES: Run committee meetings 3 times per year for the finance committee of the esop association HOURS DEVOTED PER MONTH: 0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: Compromise Quinby Taylor Educational Foundation ADDRESS: 200 Massachusetts Ave NW, Suite 410, Washington DC 20001 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Trustee of a Family Foundation START DATE: 09.17.19 CAPACITY: Other DUTIES: approve trades, make distributions to non-profits HOURS DEVOTED PER MONTH: .25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-04-21 |
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