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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-29 |
| MN | RA | APPROVED | 2025-10-21 |
Branch Locations
641 Lake St. E. Suite 230, Wayzata, MN 55391 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Minneapolis | MN | 12/1983 | 08/2021 |
| Bank Of America, N.A. | Minneapolis | MN | 12/2009 | 08/2021 |
| Rbc Capital Markets, Llc | Wayzata | MN | 10/2025 | Present |
| Unemployed | Wayzata | MN | 08/2021 | 10/2025 |
| City National Bank | Wayzata | MN | 02/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-09-05 |
| S65 | Uniform Investment Adviser Law Examination | 1994-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 1984-03-19 |
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