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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-09-01 |
| TX | RA | APPROVED_RES | 2022-09-01 |
Branch Locations
5251 Dtc Parkway Suite 1200, Greenwood Village, CO 80111-2737 • United States
Denver, CO • 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Denver | CO | 11/2011 | 09/2022 |
| Rbc Capital Markets, Llc | Greenwood Village | CO | 09/2022 | Present |
NAME OF ENTITY: 5854 West Mansfield Avenue, Unit 260 ADDRESS: Denver, Colorado 80235 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Apartment rental START DATE: 11.01.23 CAPACITY: Owner - Active DUTIES: Landlord HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-12 |
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