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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2017-05-02 |
Branch Locations
111 S Wacker Drive Suite 3200, Chicago, IL 60606 • United States
3550 Lenox Road Suite 1950, Atlanta, GA 30326 • United States
Douglasville, GA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bny Mellon Distributors Inc. | King Of Prussia | PA | 05/2011 | 04/2017 |
| Jfb Holdings Corp | Atlanta | GA | 11/2010 | 04/2017 |
| Equity Investment Corporation | Atlanta | GA | 09/2016 | 04/2017 |
| Rbc Capital Markets, Llc | Atlanta | GA | 04/2017 | Present |
1)I AM A COURT APPOINTED SPECIAL ADVOCATE WITH CASA. I ADVOCATE IN COURT, ON BEHALF OF NEGLECTED AND ABUSED CHILDREN IN FOSTER CARE. THIS IS A VOLUNTEER POSITION AND I AM NOT COMPENSATED. CASA IS A NON-PROFIT GROUP; THE CHAPTER I AM WITH IS IN DOUGLASVILLE, GA. THEIR ADDRESS IS: CASA 8700 HOSPITAL DRIVE THIRD FLOOR, JUDICIAL, DOUGLAS COUNTY COURTHOUSE DOUGLASVILLE, GEORGIA 30134 PHONE: 770.577.7228 2) EQUITY INVESTMENT CORPORATION, ATLANTA, GA, INVESTMENT RELATED, Internal Sales Consultant, 160 HOURS PER MONTH, ALL DURING SECURITY TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-03-17 |
| S63 | Uniform Securities Agent State Law Examination | 2000-04-10 |
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