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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2018-01-22 |
| TX | RA | APPROVED_RES | 2015-02-05 |
| IA | RA | APPROVED | 1999-01-01 |
Branch Locations
1250 Nw 128Th Street Suite 200, Clive, IA 50325-7474 • United States
Polk City, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Des Moines | IA | 03/2008 | Present |
| City National Bank | Clive | IA | 01/2020 | Present |
1) Name: Ankeny School District Address: Ankeny, Iowa Business Description: School Board Business is not investment related Projected Start Date: 09/15/14 Capacity: Elected Official (Non-Political Office) Duties Performed: Policy and goverance of school district Devoted to this OBA per Month: 5 Hours Devoted to this OBA during business hours: 0 2) Name: South West Iowa Game Club Address: J46 Riverton, Iowa 51650 Business Description: Hunting Club- No ownership Business is not investment related Projected Start Date: 08/13/20 Capacity: Director Duties Performed: Work with the club to develop plans for membership to approve in relation to running the farm. Set hunting rules develop plans to maintain operation of farm. The board is responsible to make recommendations as to the general operation of the board of which is voted on by the membership at the annual meeting. Devoted to this OBA per Month: 1*2 Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-02 |
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