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Rbc Capital Markets, LLC CRD 31194
$310B regulatory AUM 1,893 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2023-01-27 |
| CA | RA | APPROVED | 2018-05-24 |
| TX | RA | APPROVED | 2018-05-24 |
Branch Locations
1901 Avenue Of The Stars Suite 1400, Century City, CA 90067-6089 • United States
Whitefish, MT • United States
9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Beverly Hills | CA | 04/1997 | 05/2018 |
| Bank Of America,Na | Beverly Hills | CA | 08/2009 | 05/2018 |
| Rbc Capital Markets, Llc. | Century City | CA | 05/2018 | Present |
| City National Bank | Century City | CA | 07/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-09 |
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