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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-02-05 |
| WI | RA | APPROVED | 1998-04-15 |
Branch Locations
401 Pinnacle Way Suite 152, Eau Claire, WI 54701 • United States
Eau Claire, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporationrbc Capital Markets Corporation | Eau Claire | WI | 03/2008 | Present |
(1) COMMERCIAL LAND: ADDRESS: 6702 TIMBER LANE, EAU CLAIRE, WI 54701; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PURCHASE COMMERCIAL LAND; CAPACITY: OWNER-PASSIVE; START DATE: 3/12/2004; DUTIES: PURCHASE OF VACANT LAND TO EVENTUALLY SELL IN FUTURE; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (2) CLEGHORN LIONS CLUB; ADDRESS: S11951 HIGHWAY HHI, ELEVA, WI 54738; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SERVICE CLUB; CAPACITY: OTHER-MEMBER; START DATE: 1/1/2017; DUTIES: SERVICE CLUB VOLUNTEERING TO THE COMMUNITY; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. 3) NAME OF ENTITY: St. Ambrose Financial Services Inc. ADDRESS: 3710 East Ave. S La Crosse, WI 54601 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Provides administrative services, deposits and loans to the Diocese of LaCrosse CAPACITY: Board of Directors * START DATE: 10/1/22 DUTIES: Serving a specified period of time on the Board of Directors. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 1986-09-02 |
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