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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-09-15 |
| TX | RA | APPROVED_RES | 2020-10-28 |
| CT | RA | APPROVED | 2020-10-09 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
Stamford, CT • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 01/2009 | 10/2020 |
| Rbc Capital Markets, Llc | New York | NY | 10/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-29 |
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