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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2020-05-21 |
| TX | RA | APPROVED_RES | 2013-09-25 |
| CA | RA | APPROVED | 2013-09-20 |
Branch Locations
2361 Rosecrans Ave Suite 460, El Segundo, CA 90245-7910 • United States
Manhattan, CA • 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 | El Segundo | CA | 09/2013 | Present |
(1) CONGREGATION TIKVAT JACOB; ADDRESS: 1829 N SEPULVEDA BLVD MANHATTAN BEACH, CA 90266; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 06/01/2013; CAPACITY: FINANCE COMMITTEE; DUTIES: I MAY ASSIST W/THE CREATION OF AN ENDOWMENT FUND; HOURS DEVOTED PER WEEK: LESS THAN 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) SAND TREE PERRIS, LLC; ADDRESS: 1536 WEST 25TH STREET, STE 436, SAN PEDRO, CA 90731; BUSINESS DESCRIPTION: REAL ESTATE DEVELOPMENT; NOT INVESTMENT RELATED; START DATE: 11/13/2017; CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER MONTH: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE (3) NAME OF ENTITY: Quarry Employee Scholarship Foundation ADDRESS: 1 Quarry Lane, La Quinta, CA 92253 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 12.01.24 CAPACITY: Board of Directors DUTIES: I may offer feedback to the Board as to whether investments and asset allocation are appropriate. I would not expect that policy to change. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-25 |
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