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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-09-27 |
| WI | RA | APPROVED | 2018-09-27 |
Branch Locations
Newport Square Building 10528 N. Port Washington Road, Mequon, WI 53092 • United States
Milwaukee, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rw Baird | Milwaukee | WI | 05/2010 | 09/2018 |
| Rbc Capital Markets, Llc. | Mequon | WI | 09/2018 | Present |
| City National Bank | Mequon | WI | 02/2019 | 05/2023 |
(1) NAME AND ADDRESS OF OTHER BUSINESS: DUPLEX, 2825-27 N. PROSPECT, MILWAUKEE, WI NATURE OF ENTITY: OWN REAL ESTATE, DUPLEX ROLE IN OTHER BUSINESS: OWNER RESPONSIBILITIES IN THIS ROLE: MAINTAIN PROPERTY, OURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES TRADING HOURS; 0. (2) NAME AND ADDRESS: PONYTAIL PALS LLC 1028 E JUNEAU AVE MILWAUKEE WI 53202 NATURE OF ENTITY: CREATION AND MARKETING OF GIRLS HAIR ACCESSORY. THIS IS MY WIFE, LISA MOY'S BUSINESS ACTIVITY THAT I AM INVOLVED IN. RESPONSIBILITIES IN THIS ROLE: TO SUPPORT THE CREATION OF THIS START UP BUSINESS ENITY. PROVIDE FINANCIAL GUIDANCE AND SALES SUPPORT. HOURS DEVOTED: 10 HOURS PER WEEK, NIGHTS AND WEEKENDS. NONE DURING SECURITIES TRADING HOURS. (3) NAME OF ENTITY: Milwaukee Rotary ADDRESS: 750 N Lincoln Memorial Drive Suite 320 Milwaukee WI 53202 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Community non-profit CAPACITY: Board of Directors START DATE: 08/01/23 DUTIES: Guide President and Executive Director as we make a positive impact to our communities. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-29 |
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