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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-11-13 |
| WA | RA | APPROVED | 2019-06-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc. | Tacoma | WA | 01/2013 | 06/2019 |
| City National Bank | Tacoma | WA | 07/2018 | 06/2019 |
| Stifel, Nicolaus & Company, Incorporated | Tacoma | WA | 06/2019 | Present |
1. TACOMA MUSEUM OF GLASS; 1801 Dock St Tacoma WA 98402;non-profit glass museum;Board of trustee;event planning meetings, quarterly board of trustee meetings;12/3/18;3 hr/mo;during securities trading hours;not investment related. 2. State of Washington Notary;1125 Washington Street Olympia WA 98501;Notorize documents for clients;1/1/13; 1 hr/mo; during securities trading hours; not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 2008-11-05 |
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