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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 |
| CO | RA | APPROVED | 2008-06-20 |
Branch Locations
102 South Tejon Suite 460, Colorado Springs, CO 80903-2278 • United States
Monument, CO • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets | Colorado Springs | CO | 06/2008 | Present |
| City National Bank | Colorado Springs | CO | 02/2023 | 12/2023 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-05 |
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