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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2015-05-18
TX RA APPROVED 2015-05-18
  • IN RA
    APPROVED
    Since 2015-05-18
  • TX RA
    APPROVED
    Since 2015-05-18

Branch Locations

8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610 • United States

Fishers, IN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Pierce Fenner Smith, Inc Fishers IN 06/2000 Present
Rbc Capital Markets, Llc Indianapolis IN 05/2015 Present
  • 06/2000 → Present
    Merrill Lynch Pierce Fenner Smith, Inc
    Fishers, IN
  • 05/2015 → Present
    Indianapolis, IN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-11-19
  • S66 Uniform Combined State Law Examination
    2012-11-19
Other Names
  • Megan Kranys

View on SEC IAPD

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