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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2025-04-14 |
| NM | RA | APPROVED | 2022-10-17 |
| TX | RA | APPROVED | 2022-10-14 |
Branch Locations
6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132 • United States
Albuquerque, NM • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self | Albuquerque | NM | 08/2001 | Present |
| Ubs Financial | Albuquerque | NM | 02/2012 | 10/2022 |
| Rbc Capital Markets, Llc | Albuquerque | NM | 10/2022 | Present |
1) self / 2905 51st Street NW Albuquerque,NM 87120 / No/ Privately Held / USD / No / No / / Start Date 4/8/16 / 2) Senior Citizen's Law Office / 4317 Lead Ave SE # A Albuquerque,NM 87108 / Other/ Charities, Cultural, Educational & Political Organisations / Advocacy for senior citizens / Member of Board of Directors / / attend board meetings, approve minutes, review annual budgets and monthly financial reports, develop strategic fund developement plans, oversee personnel policies, evaluate performance of the Ex Director, be informed about legal issues affecting seniors / Start Date Non-profit 2/5/15-2/5/18 / 3) NAME OF ENTITY: La Vida Llena ADDRESS: 10801 Lagrima de Oro Albuquerque, NM 87111 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Member at large, board of directors CAPACITY: Board of Directors START DATE: 10/20/22 DUTIES: attend board meetings HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-04-27 |
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