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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_RES | 2019-05-19 |
| OR | RA | APPROVED | 2017-11-02 |
Branch Locations
805 Sw Broadway Suite 1800, Portland, OR 97205 • United States
Milwaukie, OR • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Portland | OR | 03/2008 | 10/2016 |
| Morgan Stanley | Portland | OR | 10/2016 | 11/2017 |
| Rbc Capital Markets, Llc | Portland | OR | 11/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-24 |
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