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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-02-05 |
| WI | RA | APPROVED | 2013-05-03 |
Branch Locations
525 Main Street Suite 410, Delafield, WI 53018 • United States
Hartland, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Delafield | WI | 05/2013 | Present |
| City National Bank | Delafield | WI | 09/2017 | 03/2025 |
(1) JKL HOLDINGS LLC; ADDRESS: EMPLOYEE'S RESIDENCE; BUSINESS DESCRIPTION: HOLDING COMPANY FOR INVESTMENTS; NOT INVESTMENT RELATED; START DATE: 08/01/2014; CAPACITY: EMPLOYEE; DUTIES: NONE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) MINNESOTA WILD; ADDRESS: 317 WASHINGTON ST, ST. PAUL, MN 55102; BUSINESS DESCRIPTION: NHL HOCKEY TEAM; NOT INVESTMENT RELATED; START DATE: 09/01/2016; CAPACITY: BOARD OF DIRECTORS; DUTIES: DETERMINE MISSION & PURPOSE, SELECT EXECUTIVE TEAM, SUPPORT/REVIEW PERFORMANCE, ENSURE EFFECTIVE PLANNING, ADEQUATE/MANAGE RESOURCES, DETERMINE & MONITOR PRODUCTS/SERVICES/PROGRAMS, ENHANCE PUBLIC IMAGE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-10 |
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