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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-30 |
| MN | RA | APPROVED | 2014-01-23 |
Branch Locations
350 N. Main Street Suite 106, Stillwater, MN 55082-7055 • United States
Stillwater, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Northwestern Mutual Life Insurance C | Milwaukee | WI | 12/1992 | Present |
| Rbc Capital Markets, Llc | Stillwater | MN | 06/2013 | Present |
MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-04 |
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