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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2012-01-12 |
| TX | RA | APPROVED | 2012-01-12 |
Branch Locations
610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448 • United States
Newport Beach, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Newport Beach | CA | 01/2012 | Present |
| City National Bank | Newport Beach | CA | 01/2018 | Present |
NEPORT BEACH NEWCOMERS CLUB. 6/1/06 TREASURER, 5 HOURS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-02 |
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