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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2017-07-06 |
| TX | RA | APPROVED | 2017-07-06 |
Branch Locations
Six Tower Bridge, 181 Washington Street Suite 500, Conshohocken, PA 19428-2000 • United States
West Chester, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Allentown | PA | 01/2009 | 07/2017 |
| Rbc Capital Markets, Llc | Conshohocken | PA | 07/2017 | Present |
| City National Bank | Conshohocken | PA | 06/2019 | Present |
1)NAME: Catholic Leadership Institute; Non-Investment related; ADDRESS: 301 Lindenwood Drive, Suite 310 Malvern, PA 19355; NATURE OF OBA: Non-Profit/Religious; POSITION: Committee/Council Member (not associated with the Board of Directors); START DATE: 01/01/22; TIME DEVOTED: 0.25 per month; DUTIES: Attend Finance and Audit Committee meetings quarterly and provide input and feedback to the committee.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-26 |
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