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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-01-11 |
| TX | RA | APPROVED_RES | 2017-03-30 |
| WI | RA | APPROVED | 1998-04-15 |
Branch Locations
717 North Mccarthy Road, Appleton, WI 54913 • United States
Naples, FL • United States
Appleton, WI • United States
2 disclosure categories 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 Corporation | Appleton | WI | 03/2008 | Present |
(1) COMMUNITY FOUNDATION OF THE FOX CITIES; ADDRESS: 4455 W LAWRENCE ST APPLETON, WI 54912; BUSINESS DESCRIPTION: PRIVATE FOUNDATION; NOT INVESTMENT RELATED; START DATE: 12/29/2014; CAPACITY: COMMITTEE/COUNCIL MEMBER-FINANCIAL; DUTIES: REVIEWING THE PERFORMANCE OF THE INVESTMENT MANAGERS; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-20 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-10 |
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