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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 |
|---|---|---|---|
| MO | RA | APPROVED | 2018-06-26 |
| TX | RA | APPROVED | 2018-06-26 |
Branch Locations
One North Brentwood Suite 900, St. Louis, MO 63105-3926 • United States
Chesterfield, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-06 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-02 |
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