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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 | 2025-12-15 |
Branch Locations
1901 Avenue Of The Stars Suite 1400, Century City, CA 90067-6089 • United States
Lynwood, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Century City | CA | 07/2022 | Present |
| Efc Wealth Management | Los Angeles | CA | 04/2021 | 11/2021 |
| Ep Wealth Management | Torrance | CA | 01/2019 | 11/2019 |
| Whittier Trust | Pasadena | CA | 07/2018 | 09/2018 |
| Jp Morgan Securities | Los Angeles | CA | 07/2017 | 12/2017 |
| Bny Mellon | Los Angeles | CA | 08/2015 | 12/2016 |
| School | Los Angeles | CA | 01/2017 | 06/2017 |
| School | Los Angeles | CA | 01/2018 | 06/2018 |
| School | Los Angeles | CA | 10/2018 | 12/2018 |
| School | Los Angeles | CA | 01/2020 | 03/2021 |
| School | Los Angeles | CA | 12/2021 | 06/2022 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-12-13 |
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