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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2017-05-01 |
| TX | RA | APPROVED | 2017-05-01 |
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 | 05/2017 |
| Rbc Capital Markets, Llc | Leawood | KS | 05/2017 | Present |
(1) NAME OF ENTITY: Morningside College ADDRESS: 1501 Morningside Avenue Sioux City Iowa 51106 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational Institution START DATE: 01/06/2025 CAPACITY: Board of Directors DUTIES: Serve on the Board of Directors. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-08-26 |
| S65 | Uniform Investment Adviser Law Examination | 1998-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 1984-08-31 |
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