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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-09 |
| WI | RA | APPROVED | 2021-02-22 |
Branch Locations
756 Jefferson St., Sturgeon Bay, WI 54235-2151 • United States
Sturgeon Bay, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii Investments | Sturgeon Bay | WI | 06/2016 | 12/2017 |
| Nicolet Advisory Services, Llc | Sturgeon Bay | WI | 06/2017 | 02/2021 |
| Nicolet National Bank | Sturgeon Bay | WI | 04/2016 | 02/2021 |
| Private Client Services | Louisville | KY | 01/2018 | 02/2021 |
| Rbc Capital Markets, Llc | Sturgeon Bay | WI | 02/2021 | Present |
1) NAME OF ENTITY: DOOR CANcer, Inc.; ADDRESS: P.O. Box 423 Sturgeon Bay, WI 54235; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Board Member of Non-Profit Organization; CAPACITY: Board of Directors; START DATE: 05/01/2018; DUTIES: Fundraise and help create policies and procedures to support the longevity of the organization; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE; 2) NAME OF ENTITY: Sturgeon Bay Youth Baseball Program ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Youth Baseball Program CAPACITY: Board of Directors START DATE: 03/01/23 DUTIES: Provide operational oversight for the league including organizing teams, setting maintenance schedules, recruiting volunteers, etc. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-09-09 |
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