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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 | 2010-02-08 |
| AK | RA | APPROVED | 2002-02-08 |
| WA | RA | APPROVED | 2000-06-19 |
Branch Locations
401 Union Street Suite 3600, Seattle, WA 98101 • United States
Everett, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Seattle | WA | 03/2008 | Present |
| City National Bank | Seattle | WA | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-24 |
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