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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2018-06-26
TX RA APPROVED 2018-06-26
  • MO RA
    APPROVED
    Since 2018-06-26
  • TX RA
    APPROVED
    Since 2018-06-26

Branch Locations

One North Brentwood Suite 900, St. Louis, MO 63105-3926 • United States

Chesterfield, MO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank, N.A. Clayton MO 10/2010 06/2018
J.P. Morgan Securities Llc Clayton MO 10/2008 06/2018
Rbc Capital Markets, Llc. Clayton MO 06/2018 Present
City National Bank Clayton MO 02/2019 Present
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: Money Smarts School for Children; ADDRESS: PO Box 8324 St. Louis, MO 63132; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: non-profit organization whose purpose is to increase financial literacy with the youth of America; CAPACITY: Board of Directors; START DATE: 05/2019; DUTIES: Raising awareness of the organization, assist in teaching some of the classes the organization holds; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-06
S63 Uniform Securities Agent State Law Examination 1993-06-02
  • S65 Uniform Investment Adviser Law Examination
    1994-10-06
  • S63 Uniform Securities Agent State Law Examination
    1993-06-02
Other Names
  • Brian Bell

View on SEC IAPD

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