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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 | 2021-02-03 |
| WI | RA | APPROVED | 2021-02-01 |
Branch Locations
2465 Marina Circle Suite 500, Green Bay, WI 54304 • United States
De Pere, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Associated Investment Services, Inc. | Green Bay | WI | 11/2006 | 02/2021 |
| Rbc Capital Markets, Llc | Depere | WI | 02/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 2007-05-07 |
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