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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-11-16 |
| WA | RA | APPROVED | 2020-01-13 |
Branch Locations
1201 Pacific Ave. Suite 1500, Tacoma, WA 98402-4322 • United States
Tacoma, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Penn Mutual Insurance Co | Horsham | PA | 05/2016 | 12/2018 |
| Hornor Townsend & Kent | Horsham | PA | 05/2016 | 12/2018 |
| Woodbury Financial Services Inc | Bellevue | WA | 01/2019 | 01/2020 |
| Rbc Capital Markets, Llc | Tacoma | WA | 01/2020 | Present |
(1) NAME OF ENTITY: Woodbury Financial; ADDRESS: N/A; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Former Agent/Rep; CAPACITY: Independent Contractor/Consultant; START DATE: 01/2019; DUTIES: None currently. Only receiving trails on old business; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (2) NAME OF ENTITY: Seattle Thunderbirds Hockey ADDRESS: 625 W James St, Kent, WA 98032 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Junior Hockey Club CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 10/9/2021 DUTIES: Performing as the Mascot, Cool Bird. He is at every home game at the ShoWare center and will be at some events within the community on non-game days. Employee HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: Corinthians Yacht Club of Tacoma ADDRESS: 5624 Marine View Dr., Tacoma, WA 98422 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Sailing Yacht Club CAPACITY: Board of Directors * START DATE: 01/01/23 DUTIES: Attend monthly general and board meetings. Assist with the racing committee HOURS DEVOTED PER MONTH: 4.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: BNI Business Networking International ADDRESS: 1925 S 341st PL Federal Way WA 98003 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01/11/2025 CAPACITY: Committee/Council Member, Elected Offical DUTIES: President of the chapter HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-16 |
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