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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-04-09 |
Branch Locations
750 Town And Country Blvd Suite 325 & 175, Houston, TX 77024-4576 • United States
Houston, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | Houston | TX | 05/2006 | 09/2016 |
| Raymond James & Associates, Inc. | Houston | TX | 09/2016 | 04/2018 |
| Rbc Capital Markets, Llc | Houston | TX | 04/2018 | Present |
| City National Bank | Houston | TX | 06/2018 | 12/2023 |
(1) Name of Business/Entity: Blue Bird Circle Foundation; Address: 615 West Alabama, Houston, TX 77006; Business is not Investment Related; Business Description: public, non profit foundation; Capacity: Director; State Date: 1/6/2017; Duties: help evaluate requests, from texas childrens hospital, for donations.; Hours Devoted per month: 1; Hours Devoted during securities hours per month: 0.; (2) Name of Business/Entity: The Strake Jesuit Foundation; Address: 8900 Bellaire Blvd., Houston, Texas 77057; Business is not Investment Related; Business Description: Foundation supporting Strake Jesuit College Prep; Capacity: Board of Directors; State Date: 11/29/2018; Duties: GS manages the $25mm investment portfolio. I will have input regarding my approval or disapproval of portfolio management by GS.; Hours Devoted per month: 1; Hours Devoted during securities hours per month: 0.; (3) NAME OF ENTITY: The Houston Country Club ADDRESS: One Potomac, Houston, Texas 77057 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Feb 13, 2026 CAPACITY: Committee/Council Member DUTIES: Serve on the Finance Committee for a local country club. No authority other than to make recommendations to the Board of Directors regarding capital improvement projects and reviewing P&L statements. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-07-25 |
| S65 | Uniform Investment Adviser Law Examination | 2005-09-15 |
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