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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-03-17 |
| WI | RA | APPROVED | 2002-09-20 |
Branch Locations
18500 W Corporate Drive Suite 100, Brookfield, WI 53045 • United States
Merton, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Brookfield | WI | 03/2008 | Present |
| City National Bank | Brookfield | WI | 11/2017 | Present |
NAME OF ENTITY: Secure Futures; ADDRESS: 710 N. Plankinton Ave, Suite 1400 Milwaukee, WI 53203; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Provide financial literacy programs and resources that empower students to make sound financial decisions; CAPACITY: Committee member; START DATE: 02/2020; DUTIES: This is role is to assist with raising sponsorship from corporate donors; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 2002-09-19 |
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