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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-30 |
| IN | RA | APPROVED | 2006-02-03 |
| IA | RA | APPROVED | 1999-12-27 |
Branch Locations
1250 Nw 128Th Street Suite 200, Clive, IA 50325-7474 • United States
Des Moines, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Des Moines | IA | 03/2008 | Present |
| City National Bank | Des Moines | IA | 04/2022 | Present |
(1) BRENTON COMMUNITIES FUND VII, COUNTY LIVING LLC, OWNER MANUFACTURED HOME COMMUNITY, 9/2005-UNKNOWN, O HRS PER MTH. (2) ROOSVELT HIGH SCHOOL FOUNDATION 4419 CENTER ST DES MOINES, IA ON BOARD OF DIRECTORS FOR HIGH SCHOOL STARTING 9/06 & NO END DATE. DEVOTE 2 HRS PER MTH, 0 HR DURING TRADING. (3) IOWA NATURAL HERITAGE FOUNDATION, 505 5TH AVE, #444, DES MOINES, IA 50309, NOT FOR PROFIT,12/01/14, DIRECTOR,LONG TERM STRATEGIC PLANNING AND HELPING THE STAFF PERFORM THEIR JOBS. 1 HOUR DURING THE WEEK, 0 HOURS DURING SECURITY TRADING HOURS (4) NAME OF ENTITY: MEADOWBROOK LANE, LLC; ADDRESS: 3304 TERRACE DRIVE DES MOINES, IA 50312; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: THIS WAS SET UP TO PAY EXPENSES FOR A TIME SHARE THAT ME AND MY WIFE OWN; CAPACITY: SOLE PROPRIETOR; START DATE: 01/17/2019; DUTIES: PAY THE EXPENSES OF THE TIME SHARE; HOURS DEVOTED PER MONTH: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE; (5) Name of Entity - Hoyt Sherman Place - The Next 100 Years Address - 1501 Woodland Ave. Des Moines, Iowa 50314 Business Description - A performing arts theater Business is not investment related Projected Start Date: 07/01/2019 Capacity: Director, Board of Directors Duties Performed: Approve payment of remodeling construction expenses. Hours Devoted to this OBA per Month: 1 Hour Hours Devoted to this OBA during business hours: 0 (6) Central Presbyterian Church - N - 3829 Grand Ave, Des Moines IA 50312 - Board of Directors - Start date: July 1, 2024 - 1hr devoted - Board Member & Treasurer for the church foundation. Advise and attend meetings.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 1980-10-30 |
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