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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 | 2025-10-02 |
Branch Locations
5301 Sw Parkway, Bldg 2 Suite 300, Austin, TX 78735 • 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 |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Austin | TX | 02/2020 | 11/2020 |
| Unemployed/Student | San Antonio | TX | 08/2010 | 09/2018 |
| Trio Homeowner Association Management | San Antonio | TX | 09/2018 | 06/2019 |
| Securian Financial Services/Northstar Financial | Austin | TX | 06/2019 | 02/2020 |
| Fidelity Investments | Austin | TX | 03/2022 | 08/2022 |
| Charles Schwab & Co. Inc | Austin | TX | 02/2020 | 11/2020 |
| Raymond James Financial Services, Inc. | Austin | TX | 01/2023 | 01/2024 |
| Prosperity Bank | Austin | TX | 12/2022 | 01/2024 |
| Prosperity Private Investments | Austin | TX | 12/2022 | 01/2024 |
| Unemployed | Austin | TX | 12/2020 | 02/2022 |
| Unemployed | Austin | TX | 09/2022 | 12/2022 |
| Rbc Capital Markets, Llc | Austin | TX | 05/2025 | Present |
| Unemployed | Austin | TX | 01/2024 | 05/2025 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 2020-11-02 |
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