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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 | 2020-04-01 |
| WI | RA | APPROVED | 2020-04-01 |
Branch Locations
66 South Main Street, Fond Du Lac, WI 54935 • United States
Fond Du Lac, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Fond Du Lac | WI | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Fond Du Lac | WI | 11/2016 | 04/2020 |
| Rbc Capital Markets, Llc | Fond Du Lac | WI | 04/2020 | Present |
| City National Bank | Fond Du Lac | WI | 04/2020 | Present |
1)DIRECT COMMERCE GROUP, LLC; NON-INV; CHICAGO, IL; LESS THAN 1% OWNERSHIP; START: 04/01/2010; HOURS: 0 PER MONTH - 0 DURING TRADING; DUTIES: ONLINE FURNITURE SALES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 1989-05-09 |
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