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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2026-03-24 |
Branch Locations
250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Minneapolis | MN | 10/2021 | 04/2025 |
| Ameriprise Financial | Minneapolis | MN | 10/2017 | 10/2021 |
| Oppenheimerfunds, Inc | Centennial | CO | 03/2013 | 10/2017 |
| Gradient Investments, Llc | Arden Hills | MN | 05/2025 | 03/2026 |
| Rbc Capital Markets, Llc | Minneapolis | MN | 03/2026 | Present |
(1) NAME OF ENTITY: Kimble Lake Homeowners Association (KLHA) ADDRESS: PO Box 836 Pequot Lakes Minnesota 56472 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jul 01, 2025 CAPACITY: Treasurer DUTIES: Bookkeeping, budget management, and vendor payments HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-05-05 |
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