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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2019-06-10 |
| CA | RA | APPROVED | 2019-05-31 |
| TX | RA | APPROVED_RES | 2019-05-31 |
Branch Locations
3430 East Sunrise Drive Suite 250, Tucson, AZ 85718-3237 • United States
La Jolla, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Tucson | AZ | 09/2007 | 05/2019 |
| Rbc Capital Markets, Llc. | Tucson | AZ | 05/2019 | Present |
| City National Bank | Tucson | AZ | 09/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-01 |
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