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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-08-15 |
| TX | RA | APPROVED_RES | 2023-08-07 |
Branch Locations
326 Third Street, Marietta, OH 45750 • United States
8415 Pulsar Place Suite 110, Columbus, OH 43240 • United States
Westerville, OH • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Columbus | OH | 05/2012 | 08/2023 |
| Rbc Capital Markets, Llc | Columbus | OH | 08/2023 | Present |
1) CASTLE DEFENSE, LLC / investment related?; yes/ 5667 Stillwater Avenue, Westerville, OH, 43082 US/ Small arms instruction./ Proprietor / owner/ Instruction and all administrative and planning requirements as necessary./ Start date: 1/3/2022/ time required during work?: yes 2) JAMES FAMILY FARMS DBA "BILLS BETTER BEE, LLC" / 1315 WASHINGTON AVENUE PARKERSBURG,WV 26101 / SOLE PROPRIETORSHIP/ AGRICULTURE & LIVESTOCK / BEE KEEPING, CULTIVATION OF AMERICAN CHESTNUT TREE HYBRIDS, AND LEASING OF OIL AND GAS MINERAL RIGHTS ON THE FARM. / SOLE PROPRIETORSHIP /OVERSEE THE MANAGEMENT OF THE FARM AND RELATED ACTIVITIES. / START DATE 09/27/2012.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-22 |
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