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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-11-13 |
Branch Locations
250 Nicollet Mall Suite 1550, 16Th Floor, Minneapolis, MN 55401 • United States
Mendota Heights, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Minneapolis | MN | 03/2008 | Present |
| Rbc Global Asset Management (U.S.) Inc. | Minneapolis | MN | 12/2010 | Present |
(1) NAME OF ENTITY: Condo Rental at 794 Main Street, La Pointe, WI 54850 ADDRESS: 794 Main Street, La Pointe, WI 54850 INVESTMENT/NOT INVESTMENT RELATED: Not investment-related BUSINESS DESCRIPTION: Private home that will be rented periodically CAPACITY: Owner-Active START DATE: 06/01/2021 DUTIES: Homeowner HOURS DEVOTED PER MONTH: 8 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: Theater Latte Da ADDRESS:345 13th Avenue, NE Minneapolis, MN 55413 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Non-Profit Theater CAPACITY: Board of Directors START DATE: 08/22/2022 DUTIES: Board Member HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH:0 NAME OF ENTITY: Lakeview Place Condominium Association ADDRESS: 794 Main Street; PO Box 369; LaPointe, WI 54850-0369 INVESTMENT/NOT INVESTMENT RELATED: Not investment related BUSINESS DESCRIPTION: Homeowner's Association CAPACITY: Treasurer START DATE: 04/15/2025 DUTIES: Establishing & overseeing the annual budget and reconciling expenditures against the budget. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Minnesota State University Mankato ADDRESS: 1536 Warren Street, Mankato, MN 56001 INVESTMENT/NOT INVESTMENT RELATED: Not investment related BUSINESS DESCRIPTION: State College / University CAPACITY: Advisory Board Member START DATE: 06/30/2026 DUTIES: Advise on program curriculum, review program offerings, mentor students. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-18 |
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