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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2022-03-28 |
Branch Locations
250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States
St. Michael, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services | Saint Louis Park | MN | 03/2018 | 03/2022 |
| Wells Fargo Bank, N.A. | 101 North Phillips Avenue | SD | 08/2008 | 01/2018 |
| Rbc Capital Markets, Llc | Minneapolis | MN | 03/2022 | Present |
(1) DEACON'S WALK HOMEOWNERS ASSOCIATION/NEW CONCEPTS, NOT INV. RELATED, BOARD MEMBER, ST. LOUIS PARK, MN. START: 5/1/17, LESS THAN 1 HOUR/MONTH, 0 DURING TRADING, REVIEWING FINANCIALS AND FACILITATING HOA MAINTENANCE. UBER; NOT INVESTMENT RELATED; SAN FRANCISCO,CA; DRIVER; START DATE 11/25/2019; NUMBER OF HOURS PER MONTH 15; NUMBER OF HOURS DURING TRADING 0; DRIVER. (2) NAME OF ENTITY: Legacy at Deacon's Walk Homeowner's Association ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: On the board of my neighborhood's HOA CAPACITY: Other: approval of housing design elements and fielding neighbor complaints such as long grass. START DATE: 01/01/2024 DUTIES: approval of housing design elements and fielding neighbor complaints such as long grass.. HOURS DEVOTED PER MONTH:0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-06-14 |
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