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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2023-10-11 |
| TX | RA | APPROVED_RES | 2023-10-02 |
Branch Locations
4001 W. 114Th St Suite 200, Leawood, KS 66211-2604 • United States
Mission Hills, KS • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Leawood | KS | 08/2006 | 09/2023 |
| Rbc Capital Markets, Llc | Leawood | KS | 09/2023 | Present |
(1) NAME OF ENTITY: University of Kansas School of Business ADDRESS: Lawrence Kansas INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Dean's Advisory Board START DATE: 04.15.20 CAPACITY: Other DUTIES: Advising Dean around Business School activities HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 1990-10-03 |
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