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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2018-02-09 |
| IA | RA | APPROVED | 2017-12-15 |
| TX | RA | APPROVED_RES | 2017-11-20 |
Branch Locations
1250 Nw 128Th Street Suite 200, Clive, IA 50325-7474 • United States
Bonita Springs, FL • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | West Des Moines | IA | 08/2006 | 11/2017 |
| Rbc Capital Markets, Llc | Des Moines | IA | 11/2017 | Present |
| City National Bank | Des Moines | IA | 06/2019 | Present |
(1) BUGLE RIDGE LLC; ADDRESS: GRANT CITY, MO; BUSINESS DESCRIPTION: 4500 ACRE HUNTING FARM; NOT INVESTMENT RELATED; START DATE: 04/16/2018; CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER MONTH: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE; (2) FATHER JOHN FOUNDATION; ADDRESS: 1350 NW 128 ST., STE 100, CLIVE, IA; BUSINESS DESCRIPTION: INVESTMENT FOUNDATION ACCOUNT; NOT INVESTMENT RELATED; START DATE: 04/08/2004; CAPACITY: COMMITTEE/COUNCIL MEMBER; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: <1. (3) CAN DO PARTNERS; ADDRESS: 7704 LISON STREET, INDIANOLA, IA 50125; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: THOROUGHBRED HORSES; CAPACITY: OWNER-PASSIVE/PARTNER; START DATE: 10/1/2018; DUTIES: INVESTOR; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-08 |
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