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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2025-01-23 |
Branch Locations
6815 Poplar Avenue Suite 210, Germantown, TN 38138 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James And Associates | Memphis | TN | 06/2016 | 01/2025 |
| Rbc Capital Markets, Llc | Memphis | TN | 01/2025 | Present |
(1) Name of Business: Memphis Civilian Law Enforcement Review Board (CLERB) Address: 125 North Main Street, Memphis, TN, 38103, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Advisory Board Investment Related: No Start Date: 04/15/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: The CLERB board members are nominated by Mayor Young and approved by the City Council. The board listens to complaints about the MPD from citizens who feel they are not being heard by law enforcement. The offenses range from excessive force, deadly force, injuries occuring while in police custody, harassment by police, improper arrests - and other claims of improper conduct by the MPD. 2) NAME OF ENTITY: Police Advisory Review Committee (for City of Memphis ADDRESS: 125 N. Main St., Suite 700, Memphis, TN, 38103 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Government Institution START DATE:06/03/2024 CAPACITY: Volunteer DUTIES: I am one of 8 committee members who hear complaints about the Memphis Police Department. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours 3) NAME OF ENTITY: Massey Pointe Homeowners Association ADDRESS: 6412 Lebarrett Cv, Memphis, TN 38120-1423 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE:14/02/2024 CAPACITY: Board of Directors DUTIES: I am President and lead the board meetings. We have a property management company that handles all the financial transactions, and I have no access to HOA funds. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-29 |
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