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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WV | RA | APPROVED | 2022-01-28 |
| OH | RA | APPROVED | 2022-01-26 |
| TX | RA | APPROVED_RES | 2022-01-24 |
Branch Locations
704 4Th Avenue, Huntington, WV 25701-1424 • United States
500 Lee Street East Suite 170, Charleston, WV 25301-3201 • United States
Proctorville, OH • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Securities | Huntington | WV | 12/2005 | 01/2022 |
| Rbc Capital Markets, Llc | Huntington | WV | 01/2022 | Present |
| City National Bank | Huntington | WV | 03/2023 | Present |
1). Rental Property - non-investment related - owner - landlord duties - will not interfere with job responsibilities. 2). Souls of the Wounded - Proctorville, OH - musical group - guitar/vocals - 5 hrs/mo (0 during mkt hrs) - not investment related - will not interfere with duties at firm 3). Marshall University Alumni Board of Directors. Board Member - Not investment related - Will not interfere with duties of the firm 4). NAME OF ENTITY: Huntington Symphony Orchestra Board of Directors ADDRESS: 3rd Ave Huntington, WV INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Symphony Orchestra providing performing arts and musical education to the tri-state CAPACITY: Board of Directors * START DATE: 08/01/2023 DUTIES: Advise the board on the direction of the Orchestra, help coordinate the performances and help chose the music styles and genre. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 2005-10-19 |
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