Andrew Michael Thompson

Rbc Capital Markets, LLC

North Caldwell, NJ

CRD 3021258

Claim This Profile

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-16
NJ	RA	APPROVED	2011-11-16

NY RA
APPROVED

Since 2021-10-16
NJ RA
APPROVED

Since 2011-11-16

Branch Locations

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States

North Caldwell, NJ • 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

Organization	City	State	From	To
Rbc Capital Markets	New York	NY	09/2008	Present

09/2008 → Present

Rbc Capital Markets

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-12-05
S63	Uniform Securities Agent State Law Examination	1998-03-27

S66 Uniform Combined State Law Examination

2000-12-05
S63 Uniform Securities Agent State Law Examination

1998-03-27

Other Names

Andy Thompson

View on SEC IAPD

Nearby Firms

ISLET MANAGEMENT, LP

P2 CAPITAL PARTNERS, LLC

KINYAN CAPITAL MANAGEMENT LLC

Nearby Investors

STEVEN MARC MUEHLGAY

STEPHANIE LYNN FAGENSON

Nearby Offices

ISLET MANAGEMENT, LP · NEW YORK, NY

P2 CAPITAL PARTNERS, LLC · NEW YORK, NY

KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY

More in New York, NY

Reviews

No reviews yet

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor