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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-04-28 |
| VI | RA | APPROVED | 2025-04-25 |
| NY | RA | APPROVED | 2025-04-17 |
| TX | RA | APPROVED | 2025-04-17 |
Branch Locations
Glen Ridge, NJ • United States
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Investment Management | New York | NY | 02/2014 | 10/2023 |
| First Republic Securities Company | New York | NY | 09/2015 | 10/2023 |
| J.P. Morgan Securities Llc | New York | NY | 09/2023 | 04/2025 |
| Jp Morgan Chase Bank, N.A. | New York | NY | 10/2023 | 04/2025 |
| Rbc Capital Markets, Llc | New York | NY | 04/2025 | Present |
(1) NAME OF ENTITY: Friends of the Glen Ridge Library ADDRESS: PO Box 8115 Glen Ridge NJ 07028 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 20/03/2023 CAPACITY: Treasurer DUTIES: co-signer on bank accounts for the Friends. 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 | 2016-01-16 |
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