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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2017-05-16 |
| CA | RA | APPROVED | 2017-05-15 |
| TX | RA | APPROVED | 2017-05-15 |
Branch Locations
Newport Beach, CA • United States
1901 Avenue Of The Stars Suite 1400, Century City, CA 90067-6089 • United States
610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448 • 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 |
|---|---|---|---|---|
| Morgan Stanley & Co., Incorporated | Beverly Hills | CA | 03/2008 | 05/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2017 |
| Rbc Capital Markets, Llc | Century City | CA | 05/2017 | Present |
| City National Bank | Century City | CA | 07/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-11-02 |
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