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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_RES 2015-02-05
VI RA APPROVED 2014-11-07
  • TX RA
    APPROVED_RES
    Since 2015-02-05
  • VI RA
    APPROVED
    Since 2014-11-07

Branch Locations

5 Bristol Drive Suite 2, South Easton, MA 02375-1917 • United States

Boston, MA • 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
Rbc Capital Markets, Llc South Easton MA 09/2011 Present
City National Bank South Easton MA 06/2019 Present
Other Businesses

(1) EASTON LION'S CLUB; ADDRESS: P.O. BOX 1032 EASTON, MA 02334; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 09/03/2012; CAPACITY: BOARD OF DIRECTORS; DUTIES: VOTE; COME UP WITH NEW IDEAS TO IMPROVE CLUB AND FUND RAISE MORE MONEY; BE MORE INVOLVED WITH YEARLY ACTIVITIES; HOURS DEVOTED PER WEEK: 2; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (2) WOMEN'S BOSTON BAR FOUNDATION; ADDRESS: 105 CHAUNCY STREET, 8TH FLOOR, BOSTON, MA 02111; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT THAT HELPS ENSURE ACCESS TO JUSTICE FOR LOW-INCOME WOMEN. PROVIDES PRO BONO LEGAL HELP; CAPACITY: BOARD OF DIRECTORS; START DATE: 1/1/2019; DUTIES: HELP ADVOCATE FOR WOMEN AND FAMILIES IN THE LOW INCOME COMMUNITIES. HELP SPREAD WORD OF THIS FREE SERVICE. HELP WITH ANNUAL FUNDRAISER WHICH IS A COMEDY NIGHT; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1. (3) NAME OF ENTITY: Women's Foundation of Boston ADDRESS: 423 Brookline Ave Suite 423, Boston, MA 02215 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: non-profit helping to empower underserved women and girls CAPACITY: Board of Advisors and Committee member START DATE: 6/27/22 DUTIES: Help fundraising and their annual event HOURS DEVOTED PER MONTH: 5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Echelon Rented Condo ADDRESS: 133 Seaport Blvd; Unit 815, Boston, MA 02210 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property START DATE: 01.01.25 CAPACITY: Owner DUTIES: collect rent HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 5) NAME OF ENTITY: Noosh Enterprises, LLC ADDRESS: 256 Dorchester St, unit 308, Boston, MA, 02127 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 18/04/2025 CAPACITY: Other DUTIES: Owner of rental property that is inside the LLC. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (6) NAME OF ENTITY: Noosh Properties, LLC ADDRESS: 256 Dorchester St unit 408 Boston MA 02127 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: 01/08/2025 CAPACITY: Owner DUTIES: Rent it out and collect rent. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-12-07
  • S66 Uniform Combined State Law Examination
    2011-12-07
Designations
  • Certified Financial Planner

View on SEC IAPD

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