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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-30 |
| WI | RA | APPROVED | 2007-11-15 |
Branch Locations
Newport Square Building 10528 N. Port Washington Road, Mequon, WI 53092 • United States
Mequon, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Llc | Mequon | WI | 03/2008 | Present |
| City National Bank | Mequon | WI | 10/2017 | Present |
(1) PEEPER PROPERTIES LLC 3623 W NORMANDY CT MEQUON, WI INVESTMENT PROPERTY START 10/09 AND NO END DATE.. RENTAL PROPERTY UPKEEP. 5 HRS PER MONTH, 0 DURING TRADING. (2) NAME OF ENTITY: Scott and Cara Sister Bay home ADDRESS: 2303 Maple, Sister Bay, WI 54234 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property START DATE: 04.30.20 CAPACITY: Owner DUTIES: Maintain and use property for personally. Will rent occasionally to friends and family. Will not be actively renting the property HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Mequon Thiensville Sunrise Rotary ADDRESS: 1152 N Buckner Blvd Unit 123 Dallas TX 75218 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: 10/07/2025 CAPACITY: Board of Directors DUTIES: I act in an advisory capacity to the board of directors and will serve on at least one Rotary committee. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-29 |
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