Samuel Mordecai

Rbc Capital Markets, LLC

CRD 8207848

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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

Authority	Category	Status	Date
TX	RA	APPROVED	2026-04-02
NC	RA	APPROVED	2026-03-20

TX RA
APPROVED

Since 2026-04-02
NC RA
APPROVED

Since 2026-03-20

Branch Locations

Raleigh, NC • United States

3800 Glenwood Avenue Suite 400, Raleigh, NC 27612 • 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

Organization	City	State	From	To
Rbc Capital Markets Llc	Raleigh	NC	01/2026	Present
S&P Global	Raleigh	NC	04/2017	12/2025
Capital Bank	Sanford	NC	10/2016	04/2017
Capital Financial Group	Brentwood	TN	05/2016	09/2016
City National Bank	Raleigh	NC	04/2026	Present

01/2026 → Present

Rbc Capital Markets Llc

Raleigh, NC
04/2017 → 12/2025

S&P Global

Raleigh, NC
10/2016 → 04/2017

Capital Bank

Sanford, NC
05/2016 → 09/2016

Capital Financial Group

Brentwood, TN
04/2026 → Present

City National Bank

Raleigh, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-03-20

S66 Uniform Combined State Law Examination

2026-03-20

Other Names

Sam Mordecai

View on SEC IAPD

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