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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-04-06 |
| NY | RA | APPROVED | 2026-04-01 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • 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. | New York | NY | 06/1998 | 07/2017 |
| Morgan Stanley | New York | NY | 07/2017 | 04/2026 |
| Morgan Stanley Private Bank, National Association | New York | NY | 08/2017 | 04/2026 |
| Rbc Capital Markets, Llc | New York | NY | 04/2026 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2017 | 04/2026 |
| City National Bank | New York | NY | 04/2026 | Present |
*429061 - Reverb.com; Investment related - No; Chicago, Illinois; Musical Equipment; User (proprietor, partner, officer, director, employee, trustee, agent); 05/2021; During business hours: 0; After business hours: 0.1;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-07-13 |
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