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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-09-17 |
| IA | RA | APPROVED | 2020-03-09 |
Branch Locations
1250 Nw 128Th Street Suite 200, Clive, IA 50325-7474 • United States
West Des Moines, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Des Moines | IA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Des Moines | IA | 11/2016 | 03/2020 |
| Rbc Capital Markets, Llc | Clive | IA | 03/2020 | Present |
| City National Bank | Clive | IA | 05/2020 | Present |
(1) Address - Des Moines IA 50309 Business Description - Organization that reduces poverty Business is not investment related Projected Start Date: 03/11/20 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: Community Leadership Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0 (2) Address - 601 Grand Ave Des Moines IA 50309 Business Description - Advances Stewardship within the Diocese Business is not investment related Projected Start Date: 03/11/20 Capacity: Board of Directors * Duties Performed: Community representation and organizational support Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0 (3)NAME OF ENTITY: Nyame Do Womens Center - Divine Access ADDRESS: c/o Brenda Miller President 5526 Cottonwood Circle West Des Moines 50266 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: The program in Ghana set up to teach women to learn the trade of sewing, so can support family CAPACITY: Board of Directors * START DATE: 04/24/20 DUTIES: Serve a sounding board for directors. HOURS DEVOTED PER MONTH: 0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Catholic Diocese of Des Moines Iowa ADDRESS: 601 Grand, Des Moines, IA 50309 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Religious Institution START DATE: May 01, 2026 CAPACITY: Committee/Council Member DUTIES: Chair the financial council (5-year term, 2 years already served) HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 2
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-18 |
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