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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 | 2021-10-29 |
| TX | RA | APPROVED_RES | 2021-10-27 |
Branch Locations
1 Dickinson Drive Suite 100, Chadds Ford, PA 19317-9665 • United States
Glen Mills, PA • United States
3 disclosure categories 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Philadelphia | PA | 06/2004 | 10/2021 |
| Rbc Capital Markets, Llc | Chadds Ford | PA | 10/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-23 |
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