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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2020-11-25 |
| TX | RA | APPROVED | 2020-10-12 |
| WI | RA | APPROVED | 2020-10-12 |
Branch Locations
525 Main Street Suite 410, Delafield, WI 53018 • United States
Pewaukee, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Waukesha | WI | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Waukesha | WI | 11/2016 | 10/2020 |
| Rbc Capital Markets, Llc | Brookfield | WI | 10/2020 | Present |
| City National Bank | Brookfield | WI | 11/2020 | 01/2025 |
CO-TRUSTEE FOR MOTHER; INV RELATED; HARTFORD, WI; START: 11/23/12; 0 HR/MO; 0 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-16 |
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