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Joseph London Traw

Rbc Capital Markets, LLC

New York, NY

CRD 8072203

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2026-05-01
  • MN RA
    APPROVED
    Since 2026-05-01

Branch Locations

200 Vesey St., New York, NY 10281 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Minneapolis MN 04/2025 Present
Support Kansas City Merriam KS 06/2022 07/2022
C2Fo Leawood KS 06/2023 08/2023
Full-Time Student Bucyrus KS 05/2015 05/2024
Full-Time Student Colorado Springs CO 06/2024 12/2024
Unemployed Bucyrus KS 01/2025 03/2025
  • 04/2025 → Present
    Rbc Capital Markets, Llc
    Minneapolis, MN
  • 06/2022 → 07/2022
    Support Kansas City
    Merriam, KS
  • 06/2023 → 08/2023
    C2Fo
    Leawood, KS
  • 05/2015 → 05/2024
    Full-Time Student
    Bucyrus, KS
  • 06/2024 → 12/2024
    Full-Time Student
    Colorado Springs, CO
  • 01/2025 → 03/2025
    Unemployed
    Bucyrus, KS
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-05-01
  • S66 Uniform Combined State Law Examination
    2026-05-01

View on SEC IAPD

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