Richard David Ormsby

Current Employers

Employment History

• 08/1995 → 05/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Waukesha, WI
• 07/2011 → 05/2020
  Bank Of America, N.A.
  Waukesha, WI
• 05/2020 → Present
  Rbc Capital Markets, Llc
  Milwaukee, WI
• 06/2020 → Present
  City National Bank
  Milwaukee, WI

Previous Registrations

• 2000-04-11 → 2020-05-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Waukesha, WI
  Waukesha, WI

Other Businesses

1) I*70702 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RDO ENTERPRISES, LLC - HUNTING LAND MANAGEMENT INVESTMENT RELATED: N ADDRESS OF BUSINESS: ELM GROVE, WI, WISCONSIN 53122 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 4/1/2014 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HUNTING LAND MANAGEMENT WAS DEVELOPED TO ASSIST LAND OWNERS IN PROPERLY MANAGING THEIR LAND FOR MAXIMUM HUNTING CAPABILITES AND RECREATIONAL ENJOYMENT. MY ROLE IS WORK ASSIGNMENT AND OVERSIGHT. 2) I*106731 For profit or not for profit: For-Profit Organization Name of outside business organization: RDO Enterprises, LLC - Funeral Planning Guide Investment related: N Address of business: 1195 Terrace Dr, Elm Grove, Wisconsin 53122 Nature of business: LLC, Compensation for Activity: N Position, title, association: Consultant, Start date of relationship: 42901 Number of hours devoted: 6 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: My new role will be providing my son direction on business aspects related to running a business. He will be responsible for the internet set-up and structure of the product, sales and marketing. 3) Name: RDO Enterprises, LLC Address: 1195 Terrace Dr. Elm Grove, WI 53122 Business Description: Hunting Land Management Co. Business is not investment related Projected Start Date: 09/01/15 Capacity: Owner - Active Duties Performed: Positioning the company for an exclusive right to "stage" one's hunting property for one or multiple seasons. Devoted to this OBA per Month: 2 hours of personal time/week. 40/year Hours Devoted to this OBA during business hours: 0 4) NAME OF ENTITY: Habitat for Humanity ADDRESS: 3726 N Booth St Milwaukee, WI 53212 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Community Service CAPACITY: Other START DATE: 01/07/23 DUTIES: Volunteer. Input on Retail Merchandising suggestions for their ReStore growth expansion HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-11-03
• S63 Uniform Securities Agent State Law Examination
  1995-10-18

Other Names

• Richard Ormsby
• Richard David Ormsby
• Richard D Ormsby