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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2015-02-16 |
| TX | RA | APPROVED | 2015-02-13 |
Branch Locations
6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132 • United States
Rio Rancho, NM • 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Albuquerque | NM | 02/2015 | Present |
| City National Bank | Albuquerque | NM | 06/2022 | Present |
(1) THE PLAN SPONSOR UNIVERSITY; ADDRESS: 4425 MILITARY TRAIL, STE 202, JUPITER, FL 33458; BUSINESS DESCRIPTION: FIDUCIARY TRAINING AND CERTIFICATION PROGRAM; NOT INVESTMENT RELATED; START DATE: 10/01/2015; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; DUTIES: ADJUNCT LECTURER; HOURS DEVOTED PER WEEK: 0 - ONE CLASS PER YEAR; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-03-23 |
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