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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2023-04-20 |
| TX | RA | APPROVED | 2023-04-04 |
Branch Locations
6300 S. Old Village Place Suite 201, Sioux Falls, SD 57108-2102 • United States
Sioux Falls, SD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. | Minnetonka | MN | 06/2011 | 04/2023 |
| Rbc Capital Markets, Llc | Sioux Falls | SD | 04/2023 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-17 |
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