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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2022-10-27 |
| AZ | RA | APPROVED | 2019-06-10 |
| MO | RA | APPROVED | 2019-05-31 |
| TX | RA | APPROVED | 2019-05-31 |
Branch Locations
3430 East Sunrise Drive Suite 250, Tucson, AZ 85718-3237 • United States
4001 W. 114Th St Suite 200, Leawood, KS 66211-2604 • United States
Kansas City, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Tucson | AZ | 01/2015 | 05/2019 |
| Rbc Capital Markets, Llc. | Leawood | KS | 05/2019 | Present |
| City National Bank | Leawood | KS | 09/2019 | Present |
(1) METROPOLITAN COMMUNITY COLLEGE FOUNDATION / 3200 BROADWAY KANSAS CITY,MO 64111 / OFFICER / I AM CHAIR-ELECT OF THE BOARD. / START DATE 1/1/2009 / BI-MONTHLY BOARD MEETINGS BEGIN AT 4:30. COMMITTEE MEETINGS ARE SOMETIMES HELD DURING THE WORK DAY. 2)KANSAS CITY METROPOLITAN BAR ASSOCIATION / TWO PERSHING SQUARE, 2300 MAIN STREET, SUITE 100 KANSAS CITY,MO 64108 / COMMITTEE MEETINGS / START DATE 5/15/2015 (2) NAME OF ENTITY: eSports Investment, LLC ADDRESS: 3666 Belleview Avenue Kansas City, MO 64111 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: An Missouri LLC to be established for the purpose of investing in the Kc Pioneers eSports team. CAPACITY: Owner - Passive, Partner START DATE: 10/31/21 DUTIES: This will be a member-managed LLC. I will be one of the members. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: KU Endowment | KU Advancement Board ADDRESS: 4125 Rainbow Blvd., Suite 300 Kansas City, KS 66103 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Advocate for the transformative impact of the University of Kansas academic medical center START DATE: 11.06.23 CAPACITY: Other - I am a member of this board -- which is a group of boosters; no fiduciary duties. DUTIES: The primary goal of the academic medical center is to be known and respected regionally, nationally and internationally as a world-class academic healthcare organization recognized for relentless dedication and commitment to improving the health and well-being of people through education, research and healthcare delivery. The Advancement Board supports these efforts by building awareness and partnerships and bolstering philanthropic efforts in support of education, research and patient care. The full board meets twice each year, with committee meetings and board-hosted events held throughout the year. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-02 |
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