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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 | 2021-02-01 |
| WI | RA | APPROVED | 2021-02-01 |
Branch Locations
756 Jefferson St., Sturgeon Bay, WI 54235-2151 • United States
Sturgeon Bay, WI • 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 |
|---|---|---|---|---|
| Sii Investments | Sister Bay | WI | 06/2016 | 12/2017 |
| Nicolet Wealth Management, Llc | Sister Bay | WI | 08/2016 | 02/2021 |
| Nicolet National Bank | Green Bay | WI | 05/2016 | 02/2021 |
| Private Client Services | Louisville | KY | 01/2018 | 02/2021 |
| Rbc Capital Markets, Llc | Sturgeon Bay | WI | 02/2021 | Present |
| City National Bank | Sturgeon Bay | WI | 08/2021 | Present |
1) NAME OF ENTITY: Door County Maritime Museum; ADDRESS: 120 N. Madison Avenue Sturgeon Bay, WI 54235; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Museum; CAPACITY: Treasurer; START DATE: 01/01/2019; DUTIES: Review monthly financials and attend meetings monthly to discuss Museum business; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 01; 2) NAME OF ENTITY: Weidner Center; ADDRESS: 2420 Nicolet Drive Green Bay, WI 54311; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Performing Arts Center; CAPACITY: Board of Directors; START DATE: 03/01/2018; DUTIES: Serve in an advisory role regarding programming; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-01-04 |
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