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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 | 2021-08-06 |
| TX | RA | APPROVED | 2017-05-25 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
Scarsdale, NY • 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 |
|---|---|---|---|---|
| Rbc Capital Markets Llc | New York | NY | 07/2015 | Present |
| City National Bank | New York | NY | 01/2017 | 01/2023 |
(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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-25 |
| S63 | Uniform Securities Agent State Law Examination | 2001-12-14 |
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