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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-09-12 |
Branch Locations
2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859 • United States
Houston, TX • 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 | Houston | TX | 08/2016 | Present |
1. TXOK TEXAS ENERGY RESOURCES LP, INVESTMENT RELATED, HOUSTON TX, INHERITED OIL AND GAS ROYALTIES, OWNER WITH SIBLING, BEGAN 1/2005, NO TIME SPENT. 2. BI-PETRO INC, INVESTMENT RELATED, HOUSTON TX, INHERITED OIL AND GAS ROYALTIES, OWNER WITH SIBLING, BEGAN 1/2005, NO TIME SPENT. 3. REDMAN OPERATING COMPANY, INVESTMENT RELATED, HOUSTON TX, OIL AND GAS ROYALTIES, MINERAL RIGHTS OWNER, BEGAN 10-2006, NO TIME SPENT. 4. MEMORIAL PRODUCTION OPERATING LLC, INVESTMENT RELATED, HOUSTON TX, INHERITED OIL AND GAS ROYALTIES, LESS THAN 1% OWNERSHIP, 6/1/2015, 0 HRS PER MONTH. 5. KOSTARR RESOURCES LLC, INVESTMENT RELATED, HOUSTON TX, INHERITED OIL AND GAS ROYALTIES, LESS THAN 1% OWNERSHIP, 6/1/2015, 0 HRS PER MONTH. 6. NEWELL FARMING CO.; NOT INV. RELATED; HOUSTON, TX; GENERAL FARMS, PRIMARILY CROP; 0% OWNERSHIP / SECRETARY; START DATE 7/1/2016; 0 HRS PER MONTH. (7) NAME OF ENTITY: MSC Corporation. ADDRESS OF BUSINESS: 2323 S. Voss Rd. Ste. 215 Houston TX 77057. BUSINESS DESCRIPTIONS: Oil and Gas Management. BUSINESS IS NOT INVESTMENT RELATED. PROJECTED START DATE: - 08/30/16. PROJECTED END DATE: - 08/01/19. CAPACITY: Director. DUTIES PERFORMED: I am on the board in name only as an estate planning purpose. HOURS DEVOTED TO THIS OBA PER MONTH: None. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: None. (8) NAME OF ENTITY: Tanglewood Home Owners Association, Inc. ADDRESS: 5757 Woodway, ste. 160 Houston, TX 77057 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Home owners association CAPACITY: Officer, Director, Board of Directors * START DATE: 1/17/22 DUTIES: President of the organization HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1984-01-27 |
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