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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2022-11-29 |
| TX | RA | APPROVED_RES | 2015-02-05 |
| MN | RA | APPROVED | 2013-11-19 |
Branch Locations
2064 Superior Dr. Nw, Rochester, MN 55901-5024 • United States
4207 28Th Avenue South 2Nd Floor, Fargo, ND 58104 • United States
Fargo, ND • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Rochester | MN | 03/2008 | Present |
| City National Bank | Rochester | MN | 10/2017 | Present |
(1) JOURNEY TO GROWTH (J2G); ADDRESS: 220 BROADWAY ROCHESTER, MN 55904; BUSINESS DESCRIPTION: CHAMBER OF COMMERCE; NOT INVESTMENT RELATED; START DATE: 10/01/2014; CAPACITY: BOARD OF DIRECTORS; DUTIES: PROVIDE GUIDANCE, DIRECTION AND ADVICE FOR A JOINT COMMUNITY ECONOMIC DEVELOPMENT INITIATIVE; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 1 (2) NAME OF ENTITY: North Dakota State University Development Foundation ADDRESS: 1241 N University Dr Fargo, ND 58102 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Post secondary non-profit foundation CAPACITY: Board of Directors START DATE: 09.01.23 DUTIES: Fund raising, governing guidance HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-18 |
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