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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-11-13 |
| TX | RA | APPROVED_RES | 2010-02-19 |
Branch Locations
1420 London Road Suite 201, Duluth, MN 55805-2425 • United States
Hermantown, MN • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets | Duluth | MN | 05/2009 | Present |
(1) Name of Entity: GND Development Alliance Address of Business: Duluth Minnesota 55808 Business Description: Community non-profit dedicated to revitalizing and transforming the far West Duluth recreation area Business is not investment related Projected Start Date - 06/01/2014 Projected End Date -06/01/2018 Capacity - Director Duties Performed - Board meetings and fund raising 4 hours devoted to this OBA per month 1-2 hours devoted during security trading hours per month (2) NAME OF ENTITY: Aad Shrine ADDRESS: 5152 Miller Trunk Hwy Duluth, MN 55811 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Aaad Shrine is one of 195 temples (chapters) of Shriners International CAPACITY: Board of Directors *, Other Board Chair START DATE: 01/07/2023 DUTIES: The Board Chairman is responsible: 1) to the national governing body of Shriners International for the government of his facility 2) He shall require that accurate records are kept and just accounts rendered 3) He shall require that regular returns are made to the national Council and that member fees and dues and any assessments are properly paid 4) He shall have full power and authority over the use of the local facilities 5) He may issue orders to Members, Clubs, and Unit Organizations within his jurisdiction to comply with matters over which he has authority HOURS DEVOTED PER MONTH: 3-5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 3) NAME OF ENTITY: Shriner's Hospital Twin Cities ADDRESS: 215 Radio Dr., Woodbury, MN 55125 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01.02.25 CAPACITY: Board of Governors DUTIES: Mission Oversight *Ensuring Quality Delivery of Health Care Services (Patient Care, Teaching, and Research)*Fiduciary Oversite*Setting Strategic Direction*Management Oversite*Advocacy HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 1980-10-14 |
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