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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-11-28 |
| MN | RA | APPROVED | 2013-11-20 |
Branch Locations
1420 London Road Suite 201, Duluth, MN 55805-2425 • United States
Duluth, MN • 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 , Llc | Duluth | MN | 03/2008 | Present |
| City National Bank | Duluth | MN | 03/2020 | Present |
(1) ANIMAL ALLIES HUMANE SOCIETY; ADDRESS: 4006 AIRPORT ROAD DULUTH, MN 55811; BUSINESS DESCRIPTION: HUMANE SOCIETY; NOT INVESTMENT RELATED; START DATE: 01/01/2018; CAPACITY: DIRECTOR; DUTIES: BOARD MEETINGS, STRATEGIC PLANNING, SERVING ON COMMITTEES; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: <1; (2) KITCHI GAMMI CLUB FOUNDATION; ADDRESS: 831 EAST SUPERIOR STREET DULUTH, MN 55802; BUSINESS DESCRIPTION: PRIVATE FOUNDATION; NOT INVESTMENT RELATED; START DATE: 11/15/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: MONTHLY MEETINGS; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .25 (3) GIANNI BUONOMO; ADDRESS: P.O. BOX 7556 SAN DIEGO, CA 92167; BUSINESS DESCRIPTION: WINERY; NOT INVESTMENT RELATED; START DATE: 12/01/2014; CAPACITY: OWNER-PASSIVE; DUTIES: ADVISING ON COMPOSITION OF NEWLY BOTTLED WINES; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (4) NAME OF ENTITY: NATCOM Bancshares; ADDRESS: 1127 Tower Ave. Superior, WI 54880; INVESTMENT RELATED/NOT INVESTMENT RELATED; Investment Related; BUSINESS DESCRIPTION: Bank Holding Company; CAPACITY: Board of Directors; START DATE: 02/24/2015; DUTIES: I will be part of the board who will be making decisions in support of the holding company. I will be serving on committees as well as chairing the Enterprise Risk Management Committee of the board; HOURS DEVOTED PER MONTH: 2 per week; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: Zero 5) NAME OF ENTITY: AMCANN, LLLP ADDRESS: 1214 Brockway Ct, Lakeland, FL 33801 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Small Private START DATE: 11.21.24 CAPACITY: Partnership DUTIES: I will facilitate the investments in the LLLP's Focus account., as well as assuring that funds are readily available to pay invoices and for distributions to the Partners. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 1979-09-15 |
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