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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-06 |
| MD | RA | APPROVED | 2020-08-29 |
Branch Locations
1906 Towne Centre Blvd Suite 375, Bldg #4, Annapolis, MD 21401-3686 • United States
Annapolis, MD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M&T Securities | Baltimore | MD | 07/2008 | 07/2020 |
| Rbc Capital Markets, Llc | Annapolis | MD | 07/2020 | Present |
(1) NAME OF ENTITY: Wild Rose Shores HOA ADDRESS: 495 Tulip Rd Annapolis Maryland 21403 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jun 10, 2026 CAPACITY: Treasurer DUTIES: treasure for a voluntary community association, not a HOA. HOA is incorrect HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-20 |
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