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Sally Rae Walker

Rbc Capital Markets, LLC

Las Vegas, NV

Las Vegas, NV

CRD 1991801

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-03-03
NV RA APPROVED 2008-03-04
  • TX RA
    APPROVED_RES
    Since 2025-03-03
  • NV RA
    APPROVED
    Since 2008-03-04

Branch Locations

10801 W. Charleston Blvd. Suite 650, Las Vegas, NV 89135 • United States

Las Vegas, NV • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets Corporation Las Vegas NV 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Las Vegas, NV
Previous Registrations
  • 2006-10-04 → 2008-03-04
    Banc Of America Investment Services, Inc.
    Las Vegas, NV
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-03
S65 Uniform Investment Adviser Law Examination 1995-10-14
S63 Uniform Securities Agent State Law Examination 1991-03-18
  • S66 Uniform Combined State Law Examination
    2006-10-03
  • S65 Uniform Investment Adviser Law Examination
    1995-10-14
  • S63 Uniform Securities Agent State Law Examination
    1991-03-18
Other Names
  • Sally Rae Ostrowski

View on SEC IAPD

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