James L Van De Ven

Current Employers

Employment History

• 04/2016 → 01/2023
  Robert W. Baird & Co.
  Oconomowoc, WI
• 01/2023 → Present
  Rbc Capital Markets, Llc
  Delafield, WI
• 01/2023 → Present
  City National Bank
  Delafield, WI

Previous Registrations

• 2016-04-29 → 2023-01-23
  Robert W. Baird & Co. Incorporated
  Oconomowoc, WI
• 2008-02-15 → 2016-05-02
  Wells Fargo Clearing Services, Llc
  Waukesha, WI
  Delafield, WI
• 2007-04-02 → 2007-12-20
  Morgan Stanley & Co. Llc
  Wauwatosa, WI
• 1999-07-06 → 2007-04-02
  Morgan Stanley Dw Inc.
  Wauwatosa, WI

Other Businesses

1) Name of Entity: Frank May LLC Non-Investment related: Address of Entity: W218N5498 Taylors Woods Drive Menomonee Falls, WI 53051 Nature of OBA: Family LLC to hold a rental home Position/Title/Relationship: Owner - Passive Start Date: 11/02/18 Time Devoted: 0.1; 0 during securities trading hours Duties: paying rent for my sisters apartment 2) NAME OF ENTITY: Sussex Area Service Club ADDRESS: P.O. Box 105 Sussex, WI 53089 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: To make a positive impact on the Sussex area community through community service and involvement. CAPACITY: Director. START DATE: 12/02/2023 DUTIES: help oversee our fundraising activities and then the disbursement of the funds raised. HOURS DEVOTED PER MONTH: less than 1 hour HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-22
• S63 Uniform Securities Agent State Law Examination
  1992-01-14

Other Names

• James L Vandeven