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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2013-11-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Minneapolis | MN | 03/2008 | Present |
1) Name: ACCRA Care, Inc. / ACCRA Consumer Choice, Inc. Address: 12600 Whitewater Drive Suite 100 Minnetonka, MN Business Description: 55343 ACCRA provides individualized services and supports to people with disabilities and older adults. Business is not investment related Projected Start Date: 09/12/20 Capacity: Employee Duties Performed: I will receive compensation for providing services and supports to my 18-year old son who has [REDACTED]. Devoted to this OBA per Month: 20 Hours Devoted to this OBA during business hours: 1 2) Name: Securities Industry / Regulatory Council on Continuing Education Address: FINRA 9509 Key West Avenue Rockville, MD 20850 Business Description: Advise on the development, implementation, and operation of the CE Programs. Business is not investment related Projected Start Date: 01/04/21 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: The CE Council has advisory and consultative responsibilities with regard to the development, implementation and ongoing operation of the Continuing Education Program in the Securities Industry (i.e. Firm Element & Regulatory Element). Devoted to this OBA per Month: 0.25 Hours Devoted to this OBA during business hours: 0.25
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 1991-06-03 |
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