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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-12-18 |
| IL | RA | APPROVED | 2018-09-12 |
Branch Locations
7420 West College Drive Suite 200, Palos Heights, IL 60463 • United States
Lemont, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foreside Fund Services, Llc | Chicago | IL | 10/2014 | 10/2016 |
| Cedar Capital, Llc | Chicago | IL | 01/2015 | 10/2016 |
| Bmo Investment Distributors, Llc | Chicago | IL | 01/2017 | 08/2018 |
| Rbc Capital Markets, Llc. | Palos Heights | IL | 08/2018 | Present |
| City National Bank | Palos Heights | IL | 11/2018 | Present |
(1) THE BARRY CORNERSTONE; ADDRESS: 621 W BARRY AVE CHICAGO, IL 60657; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: HOA FOR CONDO BUILDING I LIVE IN; CAPACITY: BOARD OF DIRECTORS; START DATE: 03/01/2019; DUTIES: BALANCING THE BUDGET, DECIDING ANY UPGRADES TO MAKE, ETC; HOURS DEVOTED PER MONTH: 00; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; (2) PAWS CHICAGO; ADDRESS: 1197 N CLYBOURN AVE CHICAGO, IL 60614; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT ANIMAL SHELTER; CAPACITY: OTHER - JUNIOR BOARD MEMBER; START DATE: 02/04/2019; DUTIES: FUNDRAISING, VOLUNTEERING AT THE SHELTER; MAKING PEOPLE AWARE OF PETS; HOURS DEVOTED PER MONTH: 02; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2014-10-13 |
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