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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 | 2024-09-20 |
| TX | RA | APPROVED | 2024-09-19 |
Branch Locations
3550 Lenox Road Suite 1950, Atlanta, GA 30326 • United States
Roswell, 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Atlanta | GA | 01/2009 | 09/2024 |
| Rbc Capital Markets, Llc | Atlanta | GA | 09/2024 | Present |
| City National Bank | Atlanta | GA | 10/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-17 |
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