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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-09-03 |
| TX | RA | APPROVED_RES | 2016-11-28 |
| WI | RA | APPROVED | 2016-11-28 |
| IL | RA | APPROVED | 2016-10-31 |
Branch Locations
833 E. Michigan Street Suite 1100, Milwaukee, WI 53202 • United States
Lake Geneva, WI • United States
Littleton, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Milwaukee | WI | 03/2008 | Present |
| City National Bank | Madison | WI | 11/2017 | 01/2023 |
(1) COLLEGE LAKE COUNTRY TEACH BUSINESS CLASS 1 NIGHT A WEEK. 20 HRS PER MONTH, 0 HRS DURING TRADING. (2) NAME OF ENTITY: Whalen Wheat Ridge Townhome Rental ADDRESS: 12355 W 51st Ave Wheat Ridge 80033 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jul 01, 2025 CAPACITY: Other DUTIES: Owner, renting out family townhome HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 2007-08-09 |
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