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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-11-21 |
| WA | RA | APPROVED | 2018-11-12 |
Branch Locations
3760 Carillon Point, Kirkland, WA 98033-7455 • United States
401 Union Street Suite 3600, Seattle, WA 98101 • United States
Renton, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Seattle | WA | 06/2009 | 11/2018 |
| Rbc Capital Markets, Llc. | Seattle | WA | 11/2018 | Present |
(1) CJBW ENTERPRISES LLC; ADDRESS: PERSONAL ADDRESS; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: INVESTMENT ACCOUNT; CAPACITY: OWNER; START DATE:1/1/2013; DUTIES: LLC WAS FUNDED WITH SALE OF RE PROCEEDS. PROCEEDS WERE INVESTED IN SECURITIES FOR GROWTH PURPOSES; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1. (2) RENTAL PROPERTY; ADDRESS: 102 BUTTE AVENUE, PACIFIC, WA 98047; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RENTAL PROPERTY; CAPACITY: SOLE PROPRIETOR; START DATE: 7/1/2000; DUTIES: PROPERTY AND RE DECISIONS IN OWNERSHIP AND MAINTENANCE; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (3) THOROUGHBRED RACING; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RACING; CAPACITY: SOLE PROPRIETOR; START DATE: 1/1/1998; DUTIES: OWNER OF AGRICULTURE/FARMING/RACING ASSETS; HOURS DEVOTED PER MONTH: 10; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (4) Name of Entity - Cherie Wright Address - 15150 140th Way SE Unit T-102 Renton WA 98058 Business Description - Thoroughbred Racing Projected Start Date: 07/17/2019 Capacity: Owner - Active Duties Performed: Ownership thoroughbred racing in California and California state licensing. Hours Devoted to this OBA per Month: 1 Hour Hours Devoted to this OBA during business hours: 0 (5) NAME OF ENTITY: Cherie Wright ADDRESS: 15150 140th Way SE Unit T-102 Renton WA 98058 INVESTMENT/NOT INVESTMENT RELATED: Yes - Two other approved outside business activities. BUSINESS DESCRIPTION: Private Company START DATE: Feb 06, 2026 CAPACITY: Other DUTIES: International Racing HOURS DEVOTED PER MONTH: 5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-09 |
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