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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-10-27 |
| VI | RA | APPROVED | 2022-10-26 |
| CA | RA | APPROVED | 2022-10-25 |
Branch Locations
610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448 • United States
San Juan Capistrano, 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 | Houston | TX | 12/2009 | 10/2022 |
| Wells Fargo Advisors Llc | Houston | TX | 01/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Houston | TX | 11/2016 | 10/2022 |
| Rbc Capital Markets, Llc | Newport Beach | CA | 10/2022 | Present |
| City National Bank | Newport Beach | CA | 12/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1988-01-04 |
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