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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2021-12-22 |
Branch Locations
3801 Pga Blvd Suite 801, Palm Beach Gardens, FL 33410-2757 • United States
401 Union Street Suite 3600, Seattle, WA 98101 • United States
University Place, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Russell Investments | Seattle | WA | 04/1988 | 07/2017 |
| D.A. Davidson & Co. | Seattle | WA | 07/2017 | 12/2021 |
| Rbc Capital Markets, Llc | Seattle | WA | 12/2021 | Present |
(1) NAME OF ENTITY: Lockhaven Marina, Inc. ADDRESS: 3030 Commodore Way Seattle, WA 98199 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Manage an apartment complex CAPACITY: Directors START DATE: 11/01/22 DUTIES: Annual meetings, review and potential discussions around general maintenance, potential upgrades, status of rentals for moorage and apartments. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: Tacoma Country and Golf Club ADDRESS: 13204 Country Club Drive SW Lakewood Washington 98498 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 02/06/2025 CAPACITY: Committee/Council Member DUTIES: Review financial and audit results, make decisions accordingly. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-19 |
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