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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 | 2021-06-18 |
| TX | RA | APPROVED | 2021-06-17 |
Branch Locations
345 California Street, San Francisco, CA 94104-2642 • United States
Danville, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | San Francisco | CA | 06/2014 | 01/2020 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 01/2020 | 06/2021 |
| Rbc Capital Markets, Llc | San Francisco | CA | 06/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-23 |
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