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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 | 2025-09-04 |
Branch Locations
1 Cowboys Way Suite 450, Frisco, TX 75034 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Plano | TX | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Plano | TX | 11/2016 | 11/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Frisco | TX | 11/2017 | 09/2025 |
| Bank Of America, N.A. | Frisco | TX | 01/2018 | 09/2025 |
| Rbc Capital Markets, Llc | Frisco | TX | 09/2025 | Present |
| City National Bank | Frisco | TX | 02/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-10 |
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