Robert Patrick Mccarthy

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

Authority	Category	Status	Date
SC	RA	APPROVED	2024-07-02
TX	RA	APPROVED_RES	2015-02-05
NC	RA	APPROVED	2005-01-20

SC RA
APPROVED

Since 2024-07-02
TX RA
APPROVED_RES

Since 2015-02-05
NC RA
APPROVED

Since 2005-01-20

Branch Locations

Austin, TX • United States

3800 Glenwood Avenue Suite 400, Raleigh, NC 27612 • United States

Hilton Head Island, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets Corporation	Raleigh	NC	03/2008	Present

03/2008 → Present

Rbc Capital Markets Corporation

Raleigh, NC

Other Businesses

(1) EMILY K CENTER (EMILY KRYZEWSKI FAMILY LIFE); ADDRESS: 904 W CHAPEL HILL STREET, DURHAM NC 27701 ; BUSINESS DESCRIPTION: NOT PROFIT; NOT INVESTMENT RELATED; START DATE: 01/12/2017; CAPACITY: FINANCE COMMITTEE; DUTIES: BROADEN THE COMMITTEE WITH THEIR CORPORATE PARTNER AND OTHER INDIVIDUALS; HOURS DEVOTED PER WEEK: LESS THEN 1HR; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-08-20
S63	Uniform Securities Agent State Law Examination	1994-07-26

S65 Uniform Investment Adviser Law Examination

1999-08-20
S63 Uniform Securities Agent State Law Examination

1994-07-26

View on SEC IAPD