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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2023-10-11 |
Branch Locations
4001 W. 114Th St Suite 200, Leawood, KS 66211-2604 • United States
Leawood, KS • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Leawood | KS | 07/2013 | 09/2023 |
| Rbc Capital Markets, Llc | Leawood | KS | 09/2023 | Present |
(1) Catholic Charities of Northeast Kansas / 9720 West 87th St, Overland Park,Kansas 66212 / Charity/ Charity / community service / Member of Board of directors / advisory / Start Date 10/30/2019 (2) ADDRESS: 8406 Summit, KC, MO INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental property START DATE: 10.30.19 CAPACITY: Owner - Active DUTIES: Property management. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-21 |
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