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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-12-21 |
| CO | RA | APPROVED | 2018-12-13 |
Branch Locations
1801 California Street Suite 3900, Denver, CO 80202-5822 • United States
Craig, CO • 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Denver | CO | 09/2018 | Present |
| Associa | Lakewood | CO | 02/2017 | 09/2018 |
| Hammersmith Management, Llc | Denver | CO | 08/2015 | 02/2017 |
1)Name: Community Associations Institute Colorado Legislative Action Committee Address: 11001 W 120th Ave, Suite 400, Broomfield CO 80021 Business Description: Community Association trade organization legislative action committee (not a PAC) Business is not investment related Projected Start Date: 01/01/21 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: drafting communications about the organization and legislation impacting Colorado community associations Devoted to this OBA per Month: 2 Hours Devoted to this OBA during business hours: 1 Name of Entity: Lower Downtown Neighborhood Association Address: N/A Not Investment Related Business Description: Neighborhood Association Capacity: Director, Board of Directors, Treasurer State Date: 02/01/23 Duties: Reviewing and paying expenses and compiling financial reports Hours Devoted per month: 2 Hours Devoted during securities hours per month: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-13 |
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