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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-06 |
| VI | RA | APPROVED | 2016-07-25 |
| TX | RA | APPROVED_RES | 2016-07-22 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Llc | New York | NY | 04/2008 | Present |
| City National Bank | New York | NY | 11/2016 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-13 |
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