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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 | 2021-03-26 |
| NC | RA | APPROVED | 2021-02-16 |
Branch Locations
3800 Glenwood Avenue Suite 400, Raleigh, NC 27612 • United States
Raleigh, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sanford C. Bernstein & Co., Llc | New York | NY | 06/2015 | 07/2018 |
| Rbc Capital Markets, Llc | Raleigh | NC | 01/2021 | Present |
| Ey | New York | NY | 08/2018 | 04/2019 |
| Scs Financial Services | New York | NY | 04/2019 | 12/2020 |
| City National Bank | Raleigh | NC | 04/2021 | Present |
(1) NAME OF ENTITY: Virginia Tech Finance Advisory Board ADDRESS: 925 Prices Fork Road Blacksburg VA 24060 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 07/08/2025 CAPACITY: Board of Directors DUTIES: Virginia Tech is my undergraduate alma mater. I was selected to join the Advisory Board for the Pamplin College of Business Finance Department. Here is the advisory board's role from the welcome letter: We envision that the Advisory Board will assist us along the following dimensions by providing the department with a better level of interaction with its alumni and supporters: (1) providing students with a placement network and making them aware of placement opportunities, (2) providing suggestions on or additions to the undergraduate and graduate curricula, (3) assisting the department with long-term strategies and planning, and (4) assisting with the recruitment and retention of outstanding students/faculty by funding scholarships, professorships, and operating expenses. Over the years, the Board has been instrumental in changing and guiding the department in numerous ways -- many courses, options, majors, and programs have been introduced with the support of the Board that have improved the quality of preparedness of our graduates; the companies represented by the Board have hired numerous Finance graduates; Board members have taught classes or shared their experiences with students; Board members have contributed financially to support the department, and the success of Board members has in turn helped to enhance the stature of the department internally and externally. We meet every semester: in Blacksburg around a football game in the Fall, and in New York City in Spring concurrent with the Hokies on Wall Street event. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-02-12 |
| S65 | Uniform Investment Adviser Law Examination | 2018-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-08 |
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