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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 | 2019-06-05 |
| WA | RA | APPROVED | 2019-06-05 |
Branch Locations
3760 Carillon Point, Kirkland, WA 98033-7455 • United States
Lake Tapps, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| D.A. Davidson & Co. | Bellevue | WA | 12/2001 | 06/2019 |
| Rbc Capital Markets, Llc. | Kirkland | WA | 06/2019 | Present |
| City National Bank | Kirkland | WA | 07/2019 | Present |
DUVALL PERFORMING ARTS; CO-OWNER OF A PERFORMING ARTS SCHOOL; START DATE: 11/2005; HOURS SPENT DO NOT DEVOTE ANY HOURS TO THE DAY TO DAY MANAGEMENT OF THE BUSINESS. MY WIFE RUNS ALL OPERATIONS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-29 |
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