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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-30 |
| WI | RA | APPROVED | 1998-04-15 |
Branch Locations
18500 W Corporate Drive Suite 100, Brookfield, WI 53045 • United States
Brookfield, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Brookfield | WI | 03/2008 | Present |
Name of Entity: Westmoor Country Club Address of Business: 400 S Moreland Rd Brookfield WI 53005 Business is not investment related Projected Start Date - 01/01/2015 Projected End Date - 01/01/2018 Capacity - Board of Directors Duties Performed - Vice President of the Board- attending board meetings and making decisions on the future direction of the club 4 hours devoted to this OBA per month 4 hours devoted during security trading hours per month Name of Entity: The Guest House Address of Business: 1216 N 13th Street Milwaukee WI 53205 Business Description: Homeless shelter for men in milwaukee Business is not investment related Projected Start Date - 09/21/2015 Projected End Date - 12/31/2018 Capacity - Board of Directors Duties Performed - Board Meetings and financial support of their mission 4 hours devoted to this OBA per month 4 hours devoted during security trading hours per month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 1985-08-26 |
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