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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-10-22 |
| 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
Phoenix, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Education | Albuquerque | NM | 08/2016 | 02/2017 |
| Ubs Financial Services Inc. | Albuquerque | NM | 02/2017 | 10/2022 |
| Rbc Capital Markets, Llc | Albuquerque | NM | 10/2022 | Present |
(1) NAME OF ENTITY: Trout Unlimited, Inc. ADDRESS: 40 S Twelve Oaks Blvd. Chandler Arizona 85226 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Jan 01, 2026 CAPACITY: Treasurer DUTIES: See attachment HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (2) NAME OF ENTITY: University of New Mexico Alumni Association ADDRESS: 1889 Central Ave NE, Albuquerque, New Mexico 87106 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Apr 21, 2026 CAPACITY: Other DUTIES: UNMs National Chapter Program helps alumni stay connected to the University, build relationships with fellow Lobos in their region, and give back to UNM and their communities. The Alumni Relations Office leads the majority of event planning and execution. Chapter Leaders primarily: Serve as the host and face of the Alumni Association on event day, Welcome attendees and foster a positive, inclusive Lobo experience, Help build local enthusiasm and engagement. I will be the Chapter Leader for Arizona. HOURS DEVOTED PER MONTH: None currently HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: There will be none during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-30 |
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