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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-04-12 |
| TX | RA | APPROVED_RES | 2022-04-11 |
Branch Locations
800 Laurel Oak Drive Suites 500 & 600, Naples, FL 34108 • United States
2465 Marina Circle Suite 500, Green Bay, WI 54304 • United States
Naples, FL • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith | Oak Brook | IL | 08/2006 | 07/2020 |
| First Republic Securities Company, Llc | New York | NY | 08/2020 | 04/2022 |
| First Republic Investment Management, Inc | New York | NY | 08/2020 | 04/2022 |
| Rbc Capital Markets, Llc | Naples | FL | 04/2022 | Present |
| City National Bank | Naples | FL | 05/2022 | 01/2023 |
(1) NAME: Legatus Non-Investment related ADDRESS: Ave Maria, Florida NATURE Of BUSINESS: charitable organization OSITION: Officer; serving as VP for the local Naples Chapter PROJECTED START DATE: 08/01/22 TIME DEVOTED: 1 hr per month; 0 during securities trading hours DUTIES: We meet once per month to talk about future upcoming events/speakers. recruiting of new members. work with other board members in this capacity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-12 |
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