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Clayton Charles Walters

Rbc Capital Markets, LLC

Indianapolis, IN

Indianapolis, IN

CRD 4356880

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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 2020-09-04
IN RA APPROVED 2016-12-15
  • TX RA
    APPROVED_RES
    Since 2020-09-04
  • IN RA
    APPROVED
    Since 2016-12-15

Branch Locations

8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610 • United States

Indianapolis, IN • 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, Llc Indianapolis IN 12/2016 Present
City National Bank Indianapolis IN 04/2019 Present
City Securities Corporation Indianapolis IN 02/2001 12/2016
  • 12/2016 → Present
    Rbc Capital Markets, Llc
    Indianapolis, IN
  • 04/2019 → Present
    City National Bank
    Indianapolis, IN
  • 02/2001 → 12/2016
    City Securities Corporation
    Indianapolis, IN
Previous Registrations
  • 2002-10-07 → 2016-12-19
    City Securities Corporation
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-18
S63 Uniform Securities Agent State Law Examination 2001-05-31
  • S65 Uniform Investment Adviser Law Examination
    2002-07-18
  • S63 Uniform Securities Agent State Law Examination
    2001-05-31
Other Names
  • Clayton C Walters

View on SEC IAPD

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