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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
AZ RA APPROVED 2025-01-08
NJ RA APPROVED 2012-03-12
PA RA APPROVED 2012-03-12
  • AZ RA
    APPROVED
    Since 2025-01-08
  • NJ RA
    APPROVED
    Since 2012-03-12
  • PA RA
    APPROVED
    Since 2012-03-12

Branch Locations

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467 • United States

Peoria, AZ • 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
OrganizationCityStateFromTo
Rbc Capital Markets Corporation Parsippany NJ 10/2009 Present
  • 10/2009 → Present
    Rbc Capital Markets Corporation
    Parsippany, NJ
Other Businesses

(1) RENTAL PROPERTY; ADDRESS: 26 OAK KNOLL LANE BEDMINISTER NJ; BUSINESS DESCRIPTION: RENTAL; START DATE: 07/01/12; CAPACITY: OWNER - ACTIVE; DUTIES: ACT AS LANDLORD OWNER OF HOME; TIME DEVOTED TO THIS ACTIVITY PER MONTH: 0, TIME DEVOTED TO THIS ACTIVITY PER MONTH DURING SECURITY HOURS: 0; (2) NAME OF ENTITY: scottsdale rental ADDRESS: 12944 n 93rd way scottsdale az 85260 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Assets/Products START DATE: Nov 01, 2017 CAPACITY: Owner DUTIES: Owner of the house HOURS DEVOTED PER MONTH: 4 - 10 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 4 - 10 Hours (3) NAME: STAT Overnight Delivery Non-Investment related ADDRESS: 403 International Pkwy, #505 Richardson, TX 75081 Nature of OBA: deliver prescriptions for local pharmacies Title/Position/Relationship: Independent Contractor/Consultant Start Date: 08/01/22 Time devoted: 4 hours on Saturday; 0 hours during securities trading time Duties: Be on call, for possible Saturday deliveries when full-time employees are out. Work solely as a backup

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-03-10
S63 Uniform Securities Agent State Law Examination 1994-07-15
  • S65 Uniform Investment Adviser Law Examination
    2012-03-10
  • S63 Uniform Securities Agent State Law Examination
    1994-07-15
Other Names
  • Amy M Chapman
  • Amy Michele Garfield
  • Amy Michele Chapman

View on SEC IAPD

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