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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2023-10-13 |
| MS | RA | APPROVED | 2023-10-13 |
| MN | RA | APPROVED | 2013-11-20 |
Branch Locations
250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States
Plymouth, MN • 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 |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Minneapolis | MN | 03/2008 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-27 |
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