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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-05-15 |
| WA | RA | APPROVED | 2019-03-04 |
Branch Locations
3760 Carillon Point, Kirkland, WA 98033-7455 • United States
Renton, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| D.A. Davidson & Co. | Bellevue | WA | 10/2014 | 06/2017 |
| Morgan Stanley | Bellevue | WA | 06/2017 | 02/2019 |
| Rbc Capital Markets, Llc. | Kirkland | WA | 03/2019 | Present |
RENTAL PROPERTY - KENT; ADDRESS: 19323 113TH PL SE KENT WA; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RENTAL PROPERTY; CAPACITY: OWNER/PASSIVE; START DATE: 08/01/2017; DUTIES: NONE; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; (2) Rental Property; Investment related: Yes; Seattle WA; Rental Property; Owner of the rental property(proprietor, partner, officer, director, employee, trustee, agent); Dec 2016; Husband, Ruben Foronda Jr sole owner
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-11 |
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