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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 |
|---|---|---|---|
| VI | RA | APPROVED | 2024-10-31 |
| PA | RA | APPROVED | 2024-10-30 |
| TX | RA | APPROVED | 2024-10-30 |
Branch Locations
One Ppg Place Suite 2900, Pittsburgh, PA 15222-5455 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Pittsburgh | PA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Pittsburgh | PA | 11/2016 | 10/2024 |
| Rbc Capital Markets, Llc | Pittsburgh | PA | 10/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-06 |
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