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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 |
| MN | RA | APPROVED | 2013-11-19 |
Branch Locations
971 Sibley Memorial Hwy Suite 100, St. Paul, MN 55118-2250 • United States
Hastings, MN • 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 | St Paul | MN | 03/1998 | Present |
| Self Employed | South St Paul | MN | 02/1986 | Present |
(1) OPTIMIST CLUB OF W ST PAUL, MN STARTED 7/89 AND NO END DATE. SECRETARY/TREASURER UNTIL 10/10. AS MEMBER GET VOTE ON HOW MONEY IS SPENT. DEVOTE 2.5 HRS PER MONTH. (2) NAME OF ENTITY: Minnesota Sings; ADDRESS: 12045 Point Douglas Dr S Hastings, MN 55033; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: A contest between cities throughout Minnesota designed for amateur vocalists; CAPACITY: Employee, Owner - Active, Other; START DATE: 01/01/2010; DUTIES: As the Lead Volunteer, I oversee the entire event. My main job is to tell the cities about the event and encourage them to participate. I hire the judges. I recruit people to work the event as volunteers. I find the location to hold the finals. I decide on what the prizes will be. I go out and find sponsors; HOURS DEVOTED PER MONTH: 03; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None; (3) NAME OF ENTITY: First Presbyterian Church of Hastings ADDRESS: 602 Vermillion Street Hastings, MN 55033 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Presbyterian Church I was elected to The Session (basically the Board of Directors CAPACITY: Other - I was elected to be on The Session (basically the Board of Directors for the church START DATE 05/08/2023 DUTIES: I advise and vote on matters. HOURS DEVOTED PER MONTH: 30 minutes HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 30 minutes
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-26 |
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