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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2005-02-23 |
Branch Locations
100 Crescent Court Suite 1500, Dallas, TX 75201-1871 • United States
Dallas, TX • 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 |
|---|---|---|---|---|
| Rbc Capital Markets , Llc | Dallas | TX | 03/2008 | Present |
| City National Bank | Dallas | TX | 03/2026 | Present |
1)KRADDICK FOUNDATION/KIDD'S KIDS; ADDRESS: 220 LAS COLINAS BLVD C-210 IRVING, TX 75039; BUSINESS DESCRIPTION: 501(C)3 NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 11/01/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: BOARD MEMBER DUTIES; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 1 2) NAME OF ENTITY: University of North Texas G. Brint Ryan College of Business Dean's Advisory Board; ADDRESS: 1155 Union Circle #311160 Denton, TX 76203-5017; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Business School at a major Texas University; CAPACITY: Committee/Council Member (not associated with the Board of Directors); START DATE: 01/01/2021; DUTIES: Offer opinions to the Dean; offer assistance in fundraising for the College; promote UNT Business School; HOURS DEVOTED PER MONTH: 04; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE; 3) NAME OF ENTITY: T I Sullivan, LLC ADDRESS: 3530 E 31st ST B, Tulsa, OK 74135 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Partnership START DATE: 11/01/24 CAPACITY: manager DUTIES: managing oil & gas interests HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-24 |
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