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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-02-19 |
| NM | RA | APPROVED | 2009-05-27 |
Branch Locations
6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132 • United States
Albuquerque, NM • United States
1 disclosure category 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 | Albuquerque | NM | 05/2009 | Present |
WEST POINT SOCIETY OF NM; ADDRESS: 1100 ROCKY POINT CT NE ALBUQUERQUE, NM 87123; BUSINESS DESCRIPTION: ALUMNI ASSOCIATION; NOT INVESTMENT RELATED; START DATE: 08/21/2001; CAPACITY: TREASURER; DUTIES: MAINTAINING MONEY-MARKET ACCT; HOURS DEVOTED PER WEEK: .10; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1980-11-07 |
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