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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-02-19 |
| MO | RA | APPROVED | 2007-05-01 |
| KS | RA | APPROVED | 2001-03-06 |
Branch Locations
4001 W. 114Th St Suite 200, Leawood, KS 66211-2604 • United States
Lee'S Summit, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Leawood | KS | 03/2008 | Present |
| City National Bank | Leawood | KS | 05/2020 | Present |
1) Name of Entity: Catholic Diocese of Kansas City- St. Joseph Address of Business: 20 West 9th Street Kansas City MO 64105 Business Description: Catholic Diocese Diocesan Investment Committee Projected Start Date - 11/06/2013 Projected End Date -No anticipated end date Business is not investment related Capacity - Committee/ Council member (not associated with the Board of Directors) Duties Performed - As a committee our duties are to review portfolio manager positions and performance. (no trading authority) Less than 1 hours devoted to this OBA per month (Committee meets once per quarter over lunch for approximately two hours) 0 hours devoted during security trading hours per month 2) NAME OF ENTITY: St Michael the Archangel Catholic High School ADDRESS: 2901 NW Lee's Summit Rd. Lee's Summit Mo 64064 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Board of Trustees member CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 05/01/23 DUTIES: Board of Trustees Member, objective is to govern this High School accordance with it's Bylaw's, establish operating policies, procedures and guidelines according to the Diocesan policies. Adopt annual operating and capital budgets and monitor them, adopt strategic plans and monitor them. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 1987-07-31 |
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