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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-02-08 |
| WI | RA | APPROVED | 1998-04-15 |
Branch Locations
18500 W Corporate Drive Suite 100, Brookfield, WI 53045 • United States
Pewaukee, WI • 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 | Brookfield | WI | 03/2008 | Present |
| City National Bank | Brookfield | WI | 08/2018 | 01/2025 |
(1) FALLS NORTH DEVELOPMENT; ADDRESS: 2263 WEST LIBERTY ANN ARBOR, MI 48103; BUSINESS DESCRIPTION: REAL ESTATE/LOAN; NOT INVESTMENT RELATED; START DATE: 04/01/2004; CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: .25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) A.D. FOUNDATION INCORPORATED; ADDRESS: EMPLOYEE'S RESIDENCE; BUSINESS DESCRIPTION: CHARITABLE FOUNDATION; NOT INVESTMENT RELATED; START DATE: 11/27/2012; CAPACITY: OFFICER, DIRECTOR, BOARD OF DIRECTORS, TREASURER; DUTIES: MANAGE PRIVATE FAMILY FOUNDATION INTENDED TO PROVIDE FACILITIES FOR COMMUNITY ORGANIZATIONS PRIMARILY FOR SCHOOL CHOICE, HEALTH AND WELLNESS AND RELIGIOUS ENDEAVORS; HOURS DEVOTED PER WEEK: 2 TO 4; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-10 |
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