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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-03-31 |
| TX | RA | APPROVED | 2024-08-28 |
| WI | RA | APPROVED | 2024-08-06 |
Branch Locations
2465 Marina Circle Suite 500, Green Bay, WI 54304 • United States
Green Bay, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kellogg Asset Management | Green Bay | WI | 01/2010 | 08/2024 |
| Associated Trust Company | Green Bay | WI | 01/2013 | 08/2024 |
| Rbc Capital Market, Llc | Green Bay | WI | 08/2024 | Present |
Effective 01/18/2023 Community Foundation of North Central Wisconsin (CFNCW) - an investment related Community foundation serving the needs of Wausau and the surrounding northern counties 500 1st Street Suite 2600 Wausau, WI 54403 Community foundation serving the needs of Wausau and the surrounding northern counties As a member of finance committee advise on the investment account of this $90 million community foundation Devoting two hours per month to the OBA devoting one hour per month during trading hours As a member of finance committee advise on the investment account of this $90 million community foundation
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-08-19 |
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