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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 | 2026-07-17 |
Branch Locations
100 Crescent Court Suite 1500, Dallas, TX 75201-1871 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Dallas | TX | 01/2016 | 07/2026 |
| Rbc Capital Markets, Llc | Dallas | TX | 07/2026 | Present |
1. Entertainment LLC; TX; Board Member; gives advice; affiliation started 12/31/2013; 10 hours per week; not during securities trading hours; not investment-related. 2. Rental Property held under LLC; Rental Property; Member; Pay bills and maintenance; 10/8/2019; 8 hrs/month; Not during securities trading hours; Investment-Related 3. D2MC; TX; early stage privately held companies; owner; managing investments; 07/03/2024; 1.00hr/month; Not during securities trading hours; Investment-Related 4. Rental vehicle held under LLC; transportation rental; owner; administrative; 10/24/2025; 5 hours/month; Not during securities trading hours; Not Investment-Related 5. Investments LLC; TX; invest in private companies; Managing Member; 03/04/2026; 10hrs/mth; Not during securities trading hours; Investment related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-25 |
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