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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
NY RA APPROVED 2021-08-06
TX RA APPROVED 2017-05-25
  • NY RA
    APPROVED
    Since 2021-08-06
  • TX RA
    APPROVED
    Since 2017-05-25

Branch Locations

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States

Scarsdale, NY • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets Llc New York NY 07/2015 Present
City National Bank New York NY 01/2017 01/2023
Other Businesses

(1) LSTARR PARTNERS LLC; ADDRESS: 6 METTOWEE FARMS CT UPPER SADDLE RIVER, NJ 07458; BUSINESS DESCRIPTION: INVESTMENTS; NOT INVESTMENT RELATED; START DATE: 08/08/2014; CAPACITY: PARTNER; DUTIES: INVESTMENT DECISIONS; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) STARR BROTHERS LLC; ADDRESS: 6 METTOWEE FARMS COURT, UPPER SADDLE RIVER, NJ 07458; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: HOLDING COMPANY/SPIFF FOR MEN; CAPACITY: OWNER-PASSIVE; START DATE 8/6/2018; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 5; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-25
S63 Uniform Securities Agent State Law Examination 2001-12-14
  • S66 Uniform Combined State Law Examination
    2017-05-25
  • S63 Uniform Securities Agent State Law Examination
    2001-12-14

View on SEC IAPD

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