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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2023-04-20
TX RA APPROVED 2023-04-04
  • SD RA
    APPROVED
    Since 2023-04-20
  • TX RA
    APPROVED
    Since 2023-04-04

Branch Locations

6300 S. Old Village Place Suite 201, Sioux Falls, SD 57108-2102 • United States

Sioux Falls, SD • 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
Robert W. Baird & Co. Minnetonka MN 06/2011 04/2023
Rbc Capital Markets, Llc Sioux Falls SD 04/2023 Present
Previous Registrations
Other Businesses

1) Name/Address: New Haven Ministries 1915 E 8th Street Ste 102 South Dakota 57103 Start date: 4/1/19 Hours spent: 1 hour/month Business Description - Provides faith based counseling services Hours spent during trading hours: Zero Capacity: Board of Directors Duties: quarterly board meetings Investment related 2) NAME OF ENTITY: South Dakota state university council of trustees and investment committee: ADDRESS: 815 Medary Ave Brookings, SD 57006 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Promotes the university through fundraising CAPACITY: Other: Trustee START DATE: 01/01/2011 DUTIES: attend semi-annual foundation council of trustee meetings and serve as the chair for the foundations investment committee. investment committee meetings usually occur quarterly. As an investment committee we do not make or place investment transactions. The foundation has a money manager and team that do the actual security selection and asset management. The IC committee's role is to oversee the management of the foundation's portfolio and ensure it is managed per the approved investment policy statement. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-05
S63 Uniform Securities Agent State Law Examination 1992-01-17
  • S65 Uniform Investment Adviser Law Examination
    1996-10-05
  • S63 Uniform Securities Agent State Law Examination
    1992-01-17
Other Names
  • Mary Beth Johnson

View on SEC IAPD

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