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Carla Loarte

Rbc Capital Markets, LLC

Needham, MA

Wellesley Hills, MA

CRD 5372340

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2024-10-16
NH RA APPROVED 2024-09-25
  • TX RA
    APPROVED
    Since 2024-10-16
  • NH RA
    APPROVED
    Since 2024-09-25

Branch Locations

Needham, MA • United States

57 River Street Suite 102, Wellesley Hills, MA 02481-2050 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc White Plains NY 08/2010 04/2019
Morgan Stanley Wellesley MA 04/2019 09/2024
Rbc Capital Markets, Llc Wellesley MA 09/2024 Present
Previous Registrations
  • 2021-08-23 → 2024-10-11
    Morgan Stanley
    Wellesley, MA
    Purchase, NY
    Wellesley, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-08-21
S63 Uniform Securities Agent State Law Examination 2018-06-07
  • S65 Uniform Investment Adviser Law Examination
    2021-08-21
  • S63 Uniform Securities Agent State Law Examination
    2018-06-07
Other Names
  • Carla Marie Peraza
  • Carla Marie Loarte

View on SEC IAPD

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