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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 | 2021-01-08 |
| NC | RA | APPROVED | 2018-02-22 |
Branch Locations
3800 Glenwood Avenue Suite 400, Raleigh, NC 27612 • United States
Garner, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raleigh | NC | 10/2009 | 02/2018 |
| Rbc Capital Markets, Llc. | Raleigh | NC | 02/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-18 |
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