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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 |
|---|---|---|---|
| IA | RA | APPROVED | 2026-01-14 |
| TX | RA | APPROVED | 2026-01-14 |
Branch Locations
2308 56Th Ave West, Bettendorf, IA 52722 • United States
Davenport, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 01/2015 | 01/2026 |
| Northwestern Mutual Investment Services Llc | Davenport | IA | 07/2016 | 01/2026 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2016 | 01/2026 |
| Rbc Capital Markets, Llc | West Bettendorf | IA | 01/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-06 |
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