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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-06-01
MN RA APPROVED 2022-03-23
  • TX RA
    APPROVED
    Since 2022-06-01
  • MN RA
    APPROVED
    Since 2022-03-23

Branch Locations

641 Lake St. E. Suite 230, Wayzata, MN 55391 • United States

Bloomington, MN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wayzata MN 10/2018 08/2021
Victory Capital Management New York NY 09/2007 09/2018
Boulay Financial Advisors Eden Prairie MN 09/2021 03/2022
Rbc Capital Markets, Inc Minneapolis MN 03/2022 Present
  • 10/2018 → 08/2021
    Wayzata, MN
  • 09/2007 → 09/2018
    Victory Capital Management
    New York, NY
  • 09/2021 → 03/2022
    Boulay Financial Advisors
    Eden Prairie, MN
  • 03/2022 → Present
    Rbc Capital Markets, Inc
    Minneapolis, MN
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: Alpha Gamma Delta ADDRESS: 401 11th Ave SE Minneapolis, MN 55414 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Sorority at University of Minnesota CAPACITY: Other START DATE: 09/30/22 DUTIES: Attend monthly meeting in the evening with other advisors to discuss undergraduate chapter goals for members; meet with undergraduates who are struggling to keep a 2.5 GPA to come up with a scholarship improvement plan; host study parties at the sorority house for undergraduates surrounding midterms and finals HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: Alpha Gamma Delta Fraternity Inc ADDRESS: 401 11th Ave SE Minneapolis MN 55414 INVESTMENT/NOT INVESTMENT RELATED: No DESCRIPTION: Private Company START DATE: Oct 01, 2024 CAPACITY: Other DUTIES: I would like to accept the position of Substitute House Director. This position is responsible for living in the on-site sorority house when the actual House Director is on vacation and/or has a family emergency. The role is responsible for being at the house during non-business hours (7pm-7am) to deal with any issues at the physical property that may come up and to be the adult non-collegiate on-site for the sorority members. WORKING TIME: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-20
  • S66 Uniform Combined State Law Examination
    2019-05-20
Other Names
  • Katie Manahan
  • Katherine Manahan
  • Katherine Fain Manahan

View on SEC IAPD

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