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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-03-30 |
| IA | RA | APPROVED | 2023-03-27 |
Branch Locations
1250 Nw 128Th Street Suite 200, Clive, IA 50325-7474 • United States
Waukee, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bank | Oceanside | CA | 08/2019 | 09/2022 |
| U.S. Bancorp Investments, Inc. | Oceanside | CA | 04/2021 | 09/2022 |
| United States Marine Corps | Camp Pendleton | CA | 09/2014 | 09/2019 |
| Rbc Capital Markets, Llc | Clive | IA | 09/2022 | Present |
1) NAME OF ENTITY: N/A ADDRESS: 16632 Mill Pond Cir Urbandale IA, 50323 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental property CAPACITY: Sole Proprietor START DATE: 08/01/2023 DUTIES: collecting rent, listing property when vacancies arise.. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 2021-07-02 |
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