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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2023-12-26 |
| CA | RA | APPROVED | 2019-09-26 |
| TX | RA | APPROVED | 2018-02-28 |
Branch Locations
57 River Street Suite 102, Wellesley Hills, MA 02481-2050 • United States
Cambridge, MA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Financial Services | Woburn | MA | 04/2016 | 09/2016 |
| Foresters Financial Services | Woburn | MA | 09/2016 | 10/2017 |
| Rbc Captial Markets, Llc | Wellesley Hills | MA | 10/2017 | Present |
| City National Bank | Wellesley Hills | MA | 05/2019 | Present |
(1) NAME OF ENTITY: Little Brothers - Friends of the Elderly (Minneapolis/St.Paul) ADDRESS: 2 Park Plaza U306 Boston MA 02116 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Mar 05, 2026 CAPACITY: Board of Directors DUTIES: Board member HOURS DEVOTED PER MONTH: 5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 2016-07-26 |
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