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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-14 |
| OH | RA | APPROVED | 2018-09-27 |
Branch Locations
200 Vesey St., New York, NY 10281 • United States
Staten Island, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc | New York | NY | 07/2015 | 09/2018 |
| Unemployed | New York | NY | 06/2018 | 09/2018 |
| Rbc Capital Markets Llc | New York | NY | 09/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-03 |
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