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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2012-01-23 |
| MO | RA | APPROVED | 2012-01-23 |
| TX | RA | APPROVED | 2012-01-23 |
Branch Locations
4001 W. 114Th St Suite 200, Leawood, KS 66211-2604 • United States
Mission Hills, KS • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Leawood | KS | 01/2012 | Present |
(1) GOODWIN'S GUITARS L.L.C; ADDRESS: EMPLOYEE'S RESIDENCE; BUSINESS DESCRIPTION: INTERNET GUITAR SALES; NOT INVESTMENT RELATED; START DATE: 06/04/2004; CAPACITY: SOLE PROPRIETOR, OWNER-ACTIVE; DUTIES: BUY AND SELL INSTRUMENTS, MAINTAIN WEBSITE; HOURS DEVOTED PER WEEK: 4; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .50 (2) FINRA DISPUTE RESOLUTION; ADDRESS: 55 WEST MONROE STREET, SUITE 2600, CHICAGO, IL 60603; BUSINESS DESCRIPTION: DISPUTE ARBITRATION FOR REGULATORY AGENCY; NOT INVESTMENT RELATED; START DATE: 01/01/1988; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; DUTIES: ARBITRATOR; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .25
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 1981-05-29 |
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