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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2023-07-07 |
| NC | RA | APPROVED | 2023-06-14 |
| CA | RA | APPROVED | 2023-05-25 |
| TX | RA | APPROVED | 2023-05-24 |
Branch Locations
Sunset Beach, NC • United States
2100 Pennsylvania Avenue Nw Suite 810N, Washington, DC 20037 • United States
Washington, DC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | San Francisco | CA | 09/2010 | 05/2023 |
| Rbc Capital Markets, Llc | Washington | DC | 05/2023 | Present |
| City National Bank | Washington | DC | 07/2023 | Present |
(1) TBD / TBD SF,CA 94104 / INTERVIEWEE/ PRIVATELY HELD / START DATE 12/4/2014 (2) PARTICIPATION IN WRITTING A BOOK ON IMPACT INVESTING / 555 CALIFORNIA SF,CA 94104 / INTERVIEWEE/ START DATE 12/4/2014 (3) Toniic / 123 Mission Street San Francisco, CA 94102 / Other/ Charities, Cultural, Educational & Political Organizations / Membership for Impact investors / Other / Professional Mentor of CEO / twice a month 30 min call / Start Date 9/1/2014
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 2005-11-11 |
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