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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-02-05 |
| CO | RA | APPROVED | 2011-06-28 |
Branch Locations
1801 California Street Suite 3900, Denver, CO 80202-5822 • United States
Littleton, CO • 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Denver | CO | 06/2011 | Present |
| City National Bank | Denver | CO | 09/2018 | Present |
1) NAME OF ENTITY: BADGER95; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: REAL ESTATE LLC; CAPACITY: OWNER-ACTIVE; START DATE: 10/2019; DUTIES: MAKE GENERAL BUY AND SELL RECOMMENDATIONS ON PROPERTIES; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; 2) NAME OF ENTITY: National Kidney Foundation ADDRESS: 30 E 33rd Street NY, NY 10016 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Kidney disease START DATE: 04.15.24 CAPACITY: Committee/Council Member DUTIES: Help direct the golf committee to produce a productive and profitable golf tournament HOURS DEVOTED PER MONTH: 3 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-24 |
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