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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-27 |
| WA | RA | APPROVED | 2021-03-04 |
Branch Locations
1009 N. Center Pkwy Suite 200, Kennewick, WA 99336 • United States
Richland, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Thornburg Securities Corp | Santa Fe | NM | 09/2018 | 03/2021 |
| First Trust Portfolios | Wheaton | IL | 05/2017 | 08/2017 |
| Tap & Barrel | Richland | WA | 06/2018 | 08/2018 |
| University Of Montana | Missoula | MT | 08/2014 | 05/2018 |
| Rbc Capital Markets, Llc | Richland | WA | 03/2021 | Present |
(1) NAME: Tri-Cities Cancer Center Foundation Non-Investment related ADDRESS: 7350 W Deschutes Ave Building A Kennewick, WA 99336 NATURE of BUSINESS: Foundation that serves local cancer center POSITION: Board member - not a director Projected Start Date: 07/25/22 Time Devoted: 1 hour per month Time devoted during securities trading hours: 0 DUTIES: Support the TCCC Foundation's mission, purposes (mostly fundraising for the cancer center), participate in fundraising activities, serve on projects, attend activities and events sponsored by the foundation. recruit potential new members
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-02-23 |
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