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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2019-08-30
TX RA APPROVED_RES 2019-08-26
  • KS RA
    APPROVED
    Since 2019-08-30
  • TX RA
    APPROVED_RES
    Since 2019-08-26

Branch Locations

4001 W. 114Th St Suite 200, Leawood, KS 66211-2604 • United States

Leawood, KS • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Overland Park KS 07/2011 11/2016
Wells Fargo Clearing Services, Llc Overland Park KS 11/2016 08/2019
Rbc Capital Markets, Llc. Leawood KS 08/2019 Present
City Of National Bank Leawood KS 03/2020 01/2025
Previous Registrations
  • 2011-07-20 → 2019-08-27
    Overland Park, KS
    Overland Park, KS
  • 2009-06-01 → 2011-08-11
    Leawood, KS
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Overland Park, KS
  • 2006-05-18 → 2007-04-02
    Morgan Stanley Dw Inc.
    Overland Park, KS
Other Businesses

(1) NAME OF ENTITY: ETIQUETTE BOUTIQUE LLC; ADDRESS: 6920 MISSION RD, SUITE B PRAIRIE VILLAGE, KS 66208; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: MY WIFES WOMEN'S CLOTHING STORE; CAPACITY: CO-SIGNER IF MY WIFE NEEDS IT; START DATE: 09/2015; DUTIES: I CO-SIGN HER LEASE AND LOANS WHEN BANKS OR OTHER ENTITIES NEED IT; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (2) Name of Business: Big Slick Celebrity Weekend Beneffiting Children's Mercy Cancer Center Business Description: Nonprofit event beneffiting Children's Mercy Cancer Center Business is investment-related: no Address: 2401 Gillham Road, Kansas City MO 64108 Capacity: Other Sponsor Chair Start Date: 09/01/08 Duties:Help raise awareness and funds to cure children's cancer, or otherwise help the hospital. Hours devoted per month: 0 Hours devoted during securities hours per month: 0 (3) NAME OF ENTITY: BOULEVARD OF BROKEN TEES - BENEFITTING BIG BROTHERS BIG SISTERS; ADDRESS: 1709 WALNUT STREET, KC MO 64108; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NONPROFIT EVENT BENEFITTING BIG BROTHERS BIG SISTERS; CAPACITY: DIRECTOR-FOUNDER OF EVENT; START DATE: 09/2018; DUTIES: HELP RAISE AWARENESS AND FUNDS NEEDED FOR MENTORSHIP OF AT-RISK OR OTHERWISE UNDERPRIVILEGED YOUTH; HOURS DEVOTED PER MONTH: .5; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (4) NAME OF ENTITY: CADDIE AI LLC; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: GOLF BUSINESS I OWN TO TEACH MY KIDS ABOUT GOLF AND GIVING BACK; CAPACITY: SOLE PROPRIETOR; START DATE: 09/2018; DUTIES: WE SELL GOLF APPAREL, EQUIPMENT, AND GOLF LESSONS AND THEN GIVE A PORTION OF THE PROFITS TO HELP UNDERPRIVILEGED YOUTH GET INTRODUCED TO THE GAME OF GOLF; HOURS DEVOTED PER MONTH: .5; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (5) NAME OF ENTITY: NBA2KC ADDRESS: N/A NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NBA Franchise Expansion to KC CAPACITY: Other START DATE: 02/01/21 DUTIES:Duties | Business Plan / Strategy & Execution, Marketing Plan, Ideation and visualization, Suitor Review & Engagement Strategy, Economic Study and Impact. HOURS DEVOTED PER MONTH: 2-3 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-13
  • S66 Uniform Combined State Law Examination
    2006-05-13

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