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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 | 2023-10-26 |
| NC | RA | APPROVED | 2020-05-13 |
Branch Locations
3800 Glenwood Avenue Suite 400, Raleigh, NC 27612 • United States
1055 Military Cutoff Road Suite 200, Wilmington, NC 28405-4367 • United States
Wilmington, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bb&T Securities, Llc | Wilmington | NC | 01/2013 | 05/2020 |
| Rbc Capital Markets, Llc | Wilmington | NC | 05/2020 | Present |
1) FRESH INK PROPERTIES POSITION: Member- Manager NATURE: Rental Real Estate- owns and manages individual rental properties. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/18/2003 ADDRESS: 1419 Rankin Street, Wilmington NC 28401, United States DESCRIPTION: Managed financial affairs for propeties from time to time. Spouse responsible for day to day operations 2) RED TIGER DEVELOPMENT LLC POSITION: Member-Manager NATURE: Manage financial affairs of rental real estate holdings. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/07/2008 ADDRESS: 1419 Rankin Street, Wilmington NC 28401, United States DESCRIPTION: Manage financial affairs of entity. Spouse is real estate agent and handles day to day operations. 3) Name: Red Tiger Development LLC Address: 1419 Rankin Street Wilmington NC 28401 Business Description: Rental Real Estate Business is not investment related Projected Start Date: 09/12/11 Capacity: Owner - Passive Duties Performed: I will provide direction on financing and other financial affairs for the entity from time to time. My wife is a real estate professional and will handle all day to day responsibilities. Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 4) Name: Sean R. Frelke Address: 1419 Rankin Street Wilmington NC 28401 Business Description: Rental Real Estate Business is not investment related Projected Start Date: 03/05/02 Capacity: Owner - Passive Duties Performed: My wife is a real estate professional handles all day to day operations of the entity. I advise on financing matters as well and other issues from time to time. Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 5) NAME OF ENTITY: KPLT ILM LLC; ADDRESS: Personal Residence; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Rental Real Estate; CAPACITY: Owner-Passive; START DATE: 01/01/2021; DUTIES: Review financials and cash flow management; HOURS DEVOTED PER MONTH: varies but less than 1 hour outside of workday per week; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None; 6) NAME OF ENTITY: Basilica of St. Mary ADDRESS: 412 Ann Street Wilmington NC 28401 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Roman Catholic Parish CAPACITY: Other - Appointed Member of Finance Council START DATE: 11/01/22 DUTIES: Serve on finance council for parish. Review financing and provide with other members financial stewardship for the parish. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 7) NAME OF ENTITY: Downtown Wilmington Rotary Foundation ADDRESS: P.O. Box 1194 Wilmington NC 28402 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Service Club CAPACITY: Board of Directors *, Treasurer START DATE: 08/07/23 DUTIES: Retrieve reports for the Board. Discuss investments of the foundation with the Board. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-04-07 |
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