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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WY | RA | APPROVED | 2017-07-06 |
| TX | RA | APPROVED_RES | 2017-03-30 |
Branch Locations
200 West 17Th Street Suite 100, Cheyenne, WY 82001-4595 • United States
Cheyenne, WY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Cheyenne | WY | 03/2008 | Present |
(1) LARAMIE COUNTY LIBRARY FOUNDATION 2800 CENTRAL AVE, CHEYENNE, WY 82001 THIS IS A NON-PROFIT FOUNDATION. I STARTED 2/2006 AND WILL END 2/2009. I WILL BE ON THE BOARD. I WILL DEVOTE 1 1/2 HOURS PER MONTH TO THIS. 0 DURING SECURITY TRADING HOURS. (2) Name of Entity: Bluegrass Plaza, Inc Real Estate Holding Company Address of Business: 1950 Bluegrass Circle, Cheyenne, WY 82001 Business Description: Property Management Holding Company for various medical properties in Cheyenne, WY Business is not investment related Projected Start Date - 08/15/2015 Projected End Date - 08/15/2016 Capacity - Board of Directors Duties Performed - board seat for four 1 hour meetings per year. 1 hour devoted to this OBA per month 0 hours devoted during security trading hours per month (3) NAME OF ENTITY: Granite Springs Retreat Association; ADDRESS: 232 Happy Jack Road, Cheyenne, WY 82009; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Home Owners Association; CAPACITY: Board of Directors; START DATE: 08/2019; DUTIES: Board member for three year term; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (4) NAME OF ENTITY: Rocky Mountain Karma Project ADDRESS: 407 West 2nd Avenue Cheyenne Wyoming 82001 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Mar 11, 2025 CAPACITY: Board of Directors DUTIES: Non profit promoting getting yoga to the underserved parts of our community and to help develop future yoga teachers. Board member at large. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-23 |
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