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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-11-21 |
| CO | RA | APPROVED | 2018-10-16 |
Branch Locations
3491 East Harmony Road Suite 210, Fort Collins, CO 80528-9669 • United States
Fort Collins, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fort Collins | CO | 11/2014 | 11/2016 |
| Bank Of America, N.A. | Fort Collins | CO | 03/2016 | 11/2016 |
| Rbc Capital Markets, Llc. | Fort Collins | CO | 10/2018 | Present |
| Neighbor To Neighbor | Fort Collins | CO | 11/2016 | 10/2018 |
1) Name of Entity: Exceptional Swag - Address: 8942 W Brandt Pl. Littleton, CO 80123 - Investment/Not Investment Related: No - Business Description: selling promotional gear and apparel - Capacity: Independent Contractor/Consultant - State Date: 05/09/2022 - Duties: bookkeeping, entering bills and invoices into QuickBooks. Helping reconcile books at the end of the month. - Hours Devoted per month: 5 hours per month - Hours Devoted during securities hours per month: 0 2) NAME OF ENTITY: Neighbor to Neighbor ADDRESS: 1550 Blue Spruce Dr., Fort Collins, CO 80524 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 03.15.25 CAPACITY: Educator DUTIES: help teach and host their Homebuyer Education class once a quarter HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-21 |
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