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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 | 2016-12-05 |
| NH | RA | APPROVED | 2006-02-07 |
| RI | RA | APPROVED | 2005-11-16 |
| CT | RA | APPROVED | 2002-07-16 |
Branch Locations
500 Exchange Street Suite 1102, Providence, RI 02903-2637 • United States
Westerly, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Providence | RI | 03/2008 | Present |
(1)STARKIDS SCHOLARSHIP PROGRAMS; P.O. BOX 6214 MIDDLETOWN RI 02848; NON PROFIT EDUCATION SUPPORT; 09/01/14 TO TBD; BOARD OF DIRECTORS; OVERSEE MANAGEMENT OF ORGANIZATION; 4 HOURS DEVOTED PER MONTH; 4 HOURS DEVOTED DURING SECURITIES HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-07-15 |
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