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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_RES | 2015-02-05 |
| WA | RA | APPROVED | 2006-07-07 |
Branch Locations
401 Union Street Suite 3600, Seattle, WA 98101 • United States
Lynnwood, WA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Seattle | WA | 03/2008 | Present |
CLUB NORTHWEST SANDPOINT WAY SEATTLE, WA RUNNING CLUB, END DATE 3/17. ON BOARD OF DIRECTORS, OFFER GENERAL DIRECTION AND REVIEW FINANCES. DEVOTE 6 HRS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-02 |
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