Lawrence Alan Fann

Current Employers

Employment History

• 03/2008 → 09/2016
  Rbc Capital Markets Corporation
  Phoenix, AZ
• 09/2016 → 06/2026
  Ubs Financial Services Inc
  Phoenix, AZ
• 06/2026 → Present
  Rbc Capital Markets, Llc
  Phoenix, AZ

Previous Registrations

• 2016-09-02 → 2026-07-08
  Ubs Financial Services Inc.
  Phoenix, AZ
  Scottsdale, AZ
  Coronado, CA
  Coronado, CA
• 2002-03-14 → 2016-09-13
  Rbc Capital Markets, Llc
  Phoenix, AZ
  Phoenix, AZ

Other Businesses

(1) Name of Entity: Canadian Arizona Business Council Address of Business: 2425 East Camelback Road Phoenix AZ 85016 Business Description: Create business relationships with RBC Wealth management Services Projected Start Date - 03/06/2009 Projected End Date -No anticipated end date Business is not investment related Capacity - Board of Directors Duties Performed - Attend board meetings and special events that are geared to business development. 5 hours devoted to this OBA per month 0 hours devoted during security trading hours per month (2) Name of Entity: Phoenix Children's Hospital Address of Business: 1920 East Cambridge Avenue Suite 200 Phoenix AZ 85006 Business Description: Children's Hospital Projected Start Date - 11/01/2006 Projected End Date -No anticipated end date Business is not investment related Capacity - Committee/ Council Member (not associated with the Board of Directors) Duties Performed - Review PCH Gift Acceptance Policy; make recommendations to Board of Directors; member of Planned Giving Advisory Committee 5 hours devoted to this OBA per month 0 hours devoted during security trading hours per month (3) Name of Entity: Lauemi Investments LP Address of Business: 10876 East Gold DUst Avenue Scottsdale AZ 85259 Business Description: Investments Projected Start Date - 12/27/2000 Projected End Date -No anticipated end date Business is not investment related Capacity - Active Owner Duties Performed - Management, Administration 10 hours devoted to this OBA per month 10 hours devoted during security trading hours per month (4) L.A.F. Investments L.L.C. / 10876 East Gold Dust Avenue Scottsdale,AZ 85259 / Other/ Other N/A. / Used as payroll pass thru company for part time help when worked at RBC WM. / Sole proprietorship / / Pay monthly bank checking fee expense. / Start Date 11/06/2006/ L.L.C. / (5) NAME OF OTHER BUSINESS:Bernard Street Investments LLC / INVESTMENT RELATED?: N / ADDRESS: 10876 East Gold Dust Avenue, ScottsdaleAZ / NATURE OF THE BUSINESS: "Bernard Street Investments LLC,Lawrence Fann, Managing Member, 10876 East Gold Dust Avenue Scottsdale, AZ 85259-4839.This account has been open at UBS since September 2016, as my Mom & Dad's LLC. Both passed away recently, my Dad, on November 7th, 2021, and my Mom, on July 19th, 2022.My Dad was the Managing Partner until his death, when my Mom became the Managing Partner. My Mom resigned as the Manager in May 2022 and gave me notice as the Successor Manager as the currently serving Trustee of the Floyd D. Fann Family Trust, dated September 29, 1995, as amended. There are no outside activities and this account will be closed down by January 2023. I have made no investments as the Successor Manager.I have the ability to buy and sell securities, and transfer money, or anything that is necessary to wind down the account as it is owned by my parents trust, and needs to have its securities transferred into my parents separate irrevocable trusts to settle their estates. / POSITION:"Successor Manager, I did not create the entity. I inherited the responsibility as my parents requested which is to wind down the entity and settle their estate." / DUTIES:"Transferring securities out of the account into my Dad and Mom's separate irrevocable trusts. Transferring a line of credit to my Mom and Dad's separate irrevocable trusts. The entity will dissolve or end as soon as the transfers are completed, expecting by January 2023." / START DATE: 5/23/2022 . (6) NAME OF ENTITY: Greater Phoenix Urban League ADDRESS: 3851 West Wier Avenue Phoenix AZ 85041 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Nov 15, 2018 CAPACITY: Director DUTIES: Board Of Directors HOURS DEVOTED PER MONTH: 3 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-12-01
• S63 Uniform Securities Agent State Law Examination
  1992-02-07

Other Names

• Larry Fann
• Larence Alan Fann