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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_RES 2025-02-27
OR RA APPROVED 2013-08-16
  • TX RA
    APPROVED_RES
    Since 2025-02-27
  • OR RA
    APPROVED
    Since 2013-08-16

Branch Locations

4949 Sw Meadows Road Suite 250, Lake Oswego, OR 97035 • United States

St Helens, OR • 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, Llc Lake Oswego OR 02/2012 Present
Other Businesses

(1) MATTHEW AND AIMEE FUNK; 59122 ASHWOOD CT ST HELENS OR 97051; RENTAL PROPERTY; 06/30/14 TO N/A; OWNER - ACTIVE; LANDLORD; 2 HOURS DEVOTED PER MONTH; 0 HOURS DURING SECURITIES HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-08-16
S63 Uniform Securities Agent State Law Examination 2002-01-14
  • S65 Uniform Investment Adviser Law Examination
    2013-08-16
  • S63 Uniform Securities Agent State Law Examination
    2002-01-14
Other Names
  • Aimee Renee Leplat
  • Aimee Renee Leplat

View on SEC IAPD

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