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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-03 |
| WA | RA | APPROVED | 2023-12-26 |
Branch Locations
401 Union Street Suite 3600, Seattle, WA 98101 • United States
Seattle, WA • 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 |
|---|---|---|---|---|
| Wells Fargo Bank | Minneapolis | MN | 08/2016 | 04/2018 |
| Wells Fargo Bank | Minneapolis | MN | 04/2018 | 12/2018 |
| Wells Fargo Bank | Los Angeles | CA | 12/2018 | 12/2021 |
| Unemployed | Woodland Hills | CA | 12/2021 | 02/2022 |
| Walpole Financial Advisors | Goleta | CA | 02/2022 | 08/2023 |
| Rbc Capital Markets, Llc | Seattle | WA | 09/2023 | Present |
(1) NAME OF ENTITY: Harry's Catering & Events ADDRESS: 1527 Melrose Ave Seattle WA 98122 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Aug 08, 2026 CAPACITY: Other DUTIES: On-call to fill in for wait staff who are unable to show up to work, or to fill in for wait staff when the company doesn't have enough employees who can cover an event. HOURS DEVOTED PER MONTH: 8 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-12-08 |
| S65 | Uniform Investment Adviser Law Examination | 2023-03-10 |
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