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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2021-12-20 |
| NJ | RA | APPROVED | 2021-12-16 |
| TX | RA | APPROVED_RES | 2021-11-23 |
Branch Locations
328 Newman Springs Road Suite 380, Red Bank, NJ 07701-5687 • United States
Atlantic Highlands, NJ • United States
2 disclosure categories 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 | Red Bank | NJ | 03/2008 | 09/2021 |
| Rbc/City National Bank | Red Bank | NJ | 08/2016 | 09/2021 |
| Ubs Financial Services Inc. | Red Bank | NJ | 09/2021 | 11/2021 |
| Rbc Capital Markets, Llc | Red Bank | NJ | 11/2021 | Present |
| City National Bank | Red Bank | NJ | 12/2021 | 01/2025 |
1) NAME OF ENTITY: SLH44 LLC ADDRESS: 344 Ocean Boulevard, Atlantic Highlands, NJ 07716 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property START DATE: 12.26.24 CAPACITY: Owner DUTIES: Ownership of a residential rental property/condominium HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 2) NAME OF ENTITY: Monmouth Arts Council of Red Bank ADDRESS: 130 Maple Avenue, 7B, Red Bank, NJ 07701 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01.21.25 CAPACITY: Board Member DUTIES: Help organize, and attend various art events in the Monmouth County NJ area. Be a voice in general strategic planning for this 52 year old charity. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-15 |
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