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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2008-03-14 |
| WA | RA | APPROVED | 2008-03-14 |
Branch Locations
401 Union Street Suite 3600, Seattle, WA 98101 • United States
Seattle, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corp | Seattle | WA | 03/2008 | Present |
| City National Bank | Seattle | WA | 07/2022 | Present |
(1) 1201 INVESTMENTS LLC; ADDRESS: 1201 THIRD AVE STE 3500 SEATTLE, WA 98101; BUSINESS DESCRIPTION: INVEST IN MAVERON PRIVATE EQUITY AS LLC; NOT INVESTMENT RELATED; START DATE: 11/01/1999; CAPACITY: OWNER-PASSIVE; DUTIES: NONE-INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) GONZAGA PREP SCHOOL; ADDRESS: 1231 EUCLID AVE SPOKANE, WA 99203; BUSINESS DESCRIPTION: PRIVATE HIGH SCHOOL; NOT INVESTMENT RELATED; START DATE: 01/03/2000; CAPACITY: COMMITTEE/COUNCIL MEMBER; DUTIES: VOLUNTEER ON THEIR INVESTMENT SUBCOMMITTEE; HOURS DEVOTED PER WEEK: .25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) RENTAL PROPERTY; ADDRESS: 2150 E. HAMLIN, SEATTLE, WA 98112; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SINGLE FAMILY RESIDENTIAL PROPERTY; CAPACITY: OWNER-ACTIVE; START DATE: 2/1/2018; DUTIES: PROPERTY MANAGER-COLLECT RENT AND MAINTAIN PROPERTY: HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (4) SEATTLE TENNIS CLUB; ADDRESS: 922 MCGILVRA BLVD., SEATTLE, WA 98112; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PRIVATE TENNIS CLUB; CAPACITY: VOLUNTEER FINANCE COMMITTEE MEMBER; START DATE: 11/3/2014; DUTIES: VOLUNTEER FINANCE COMMITTEE MEMBER HELPING TO ANALYZE CLUB BUDGETING, ETC.; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1984-01-24 |
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