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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
TX RA APPROVED 2009-02-11
  • TX RA
    APPROVED
    Since 2009-02-11

Branch Locations

3230 Camp Bowie Blvd Suite 750, Fort Worth, TX 76107-5769 • United States

Fort Worth, TX • 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
Rbc Capital Markets Fort Worth TX 02/2009 Present
  • 02/2009 → Present
    Rbc Capital Markets
    Fort Worth, TX
Previous Registrations
Other Businesses

(1) COCAT; ADDRESS: 2200 ROSS AVENUE, STE 3838, DALLAS, TX 75201; BUSINESS DESCRIPTION: FIRE AND WATER DAMAGE RESORATION; NOT INVESTMENT RELATED; START DATE: 09/01/2006; CAPACITY: OWNER-PASSIVE; DUTIES: PASSIVE INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) X INVESTORS LLC; ADDRESS: 2200 ROSS AVENUE SUITE 3838 DALLAS, TX 75201; BUSINESS DESCRIPTION: VARIOUS PRIVATE PROPERTIES INVESTMENTS; NOT INVESTMENT RELATED; START DATE: 05/01/2011; CAPACITY: OWNER-PASSIVE; DUTIES: PASSIVE INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) CRESTCOM; ADDRESS: 2200 ROSS AVENUE SUITE 3838 DALLAS, TX 75201; BUSINESS DESCRIPTION: MANAGEMENT TRAINING; NOT INVESTMENT RELATED; START DATE: 11/01/2013; CAPACITY: OWNER-PASSIVE; DUTIES: PASSIVE INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (4) REVERE PACKAGING; ADDRESS: 2200 ROSS AVE. STE 3838, DALLAS, TX 75201; BUSINESS DESCRIPTION: PACKAGING; NOT INVESTMENT RELATED; START DATE: 11/21/2011; CAPACITY: OWNER-PASSIVE; DUTIES: PASSIVE INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (5) AMERICAN EXTERIORS; ADDRESS: 2200 ROSS AVENUE, STE 3838, DALLAS, TX 75201; BUSINESS DESCRIPTION: SELL WINDOWS; NOT INVESTMENT RELATED; START DATE: 04/17/2012; CAPACITY: OWNER-PASSIVE; DUTIES: PASSIVE INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (6) DOYLE HIGH FAMILY LIMITED PARTNERSHIP; ADDRESS: 1304 VERDANT WAY AUSTIN, TX 78746, BUSINESS DESCRIPTION: REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 03/21/2013; CAPACITY: OWNER-PASSIVE; DUTIES: PASSIVE INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (7) X INVESTORS R2, LLC; ADDRESS: 2200 ROSS AVENUE SUITE 3838 DALLAS, TX 75201; BUSINESS DESCRIPTION: REAL ESTATE INVESTMENTS; NOT INVESTMENT RELATED; START DATE: 12/14/2013; CAPACITY: OWNER-PASSIVE; DUTIES: PASSIVE INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-05
S63 Uniform Securities Agent State Law Examination 1999-10-25
  • S65 Uniform Investment Adviser Law Examination
    1999-11-05
  • S63 Uniform Securities Agent State Law Examination
    1999-10-25

View on SEC IAPD

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