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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-02-08 |
| AZ | RA | APPROVED | 2006-03-01 |
Branch Locations
3430 East Sunrise Drive Suite 250, Tucson, AZ 85718-3237 • United States
Tucson, AZ • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Tucson | AZ | 03/2008 | Present |
| City National Bank | Tucson | AZ | 07/2018 | Present |
(1) NAME OF ENTITY: KARLSBAD LLC; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: LLC TO HOLD FAMILY REAL ESTATE IN OKLAHOMA; CAPACITY: OWNER-ACTIVE; START DATE: 11/2010; DUTIES: HOME OWNER; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-13 |
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