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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-01-08 |
| TX | RA | APPROVED_RES | 2017-03-30 |
| MN | RA | APPROVED | 2013-11-19 |
Branch Locations
1015 W Saint Germain St Suite 400, St. Cloud, MN 56301-5423 • United States
Saint Augusta, MN • United States
2 disclosure categories 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 | St Cloud | MN | 03/2008 | Present |
| City National Bank | St. Cloud | MN | 11/2019 | Present |
(1) PARAMOUNT ARTS DISTRICT; ADDRESS: 913 W ST. GERMAIN ST ST CLOUD, MN 56301; BUSINESS DESCRIPTION: ARTS/THEATER; NOT INVESTMENT RELATED; START DATE: 09/28/2005; CAPACITY: BOARD OF DIRECTORS; DUTIES: SERVE AS A GUIDE TO THE DIRECTION AND PROGRAMMING FOR THE ARTS IN ST CLOUD; HOURS DEVOTED PER WEEK: 1.25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) NAME OF ENTITY: St Cloud Country Club ADDRESS: 301 Montrose Rd St Cloud Mn 56301 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Golf Country Club CAPACITY: Board of Directors * START DATE: 01/01/23 DUTIES: help guide the direction of the country club with long term and short term decisions HOURS DEVOTED PER MONTH: 40 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-10 |
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