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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2021-09-01 |
| AZ | RA | APPROVED | 2006-04-20 |
| AK | RA | APPROVED | 2006-01-31 |
| IL | RA | APPROVED | 2005-06-22 |
| TX | RA | APPROVED_RES | 2004-07-29 |
| CO | RA | APPROVED | 2001-02-16 |
Branch Locations
5251 Dtc Parkway Suite 1200, Greenwood Village, CO 80111-2737 • United States
Ericson, NE • United States
Aurora, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Greenwood Village | CO | 03/2008 | Present |
| City National Bank | Greenwood Village | CO | 10/2018 | Present |
(1) NAME OF ENTITY: Dack Cattle LLC; ADDRESS: Personal Residence; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Sogge Family LLC; CAPACITY: Owner/Passive; START DATE: 06/29/2001; DUTIES: Passive Owner; HOURS DEVOTED PER MONTH: None; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None; (2) NAME OF ENTITY: American Quarter Horse Association Finance Committee ADDRESS: 1600 Quarter Horse Drive Amarillo, TX 79104 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Not for Profit Horse Registry CAPACITY: Committee/Council Member (not associated with the Board of Directors). START DATE: 12/05/2023 DUTIES: Provide non-binding, non-voting advice and counsel to the AQHA executive committee on various financial matters for the organization. Review financial reports and budgets and provide feedback to the executive committee as appropriate. HOURS DEVOTED PER MONTH:1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Western Stock Show Association ADDRESS: 4655 Humbolt Street Denver , CO 80216 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Jul 01, 1999 CAPACITY: Board of Directors DUTIES: Exhibition, education, promotion of farm animals HOURS DEVOTED PER MONTH: 0 - 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-01-22 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-21 |
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