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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-30 |
| CA | RA | APPROVED | 2002-05-28 |
Branch Locations
3010 Old Ranch Parkway Suite 470, Seal Beach, CA 90740-2760 • United States
Rossmoor, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Seal Beach | CA | 03/2008 | Present |
| City National Bank | Seal Beach | CA | 05/2019 | Present |
BEACHSIDE BRUINS ALUMNI NETWORK; ADDRESS: BEACHSIDE BRUINS JAMES WEST ALUMNI CENTER LOS ANGELES, CA 90095; BUSINESS DESCRIPTION: UCLA ALUMNI GROUP; NOT INVESTMENT RELATED; START DATE: 11/12/2015; CAPACITY: BOARD MEMBER; DUTIES: VOTING BOARD MEMBER; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 1989-11-22 |
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