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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2019-08-28 |
| TX | RA | APPROVED | 2019-08-28 |
Branch Locations
300B Drakes Landing Road Ste 155, Greenbrae, CA 94904 • United States
San Rafael, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 07/2003 | 08/2019 |
| Bank Of America, N.A. | Mill Valley | CA | 09/2009 | 08/2019 |
| Rbc Capital Markets, Llc. | San Francisco | CA | 08/2019 | Present |
| City National Bank | Greenbrae | CA | 09/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-12-17 |
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