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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 |
| IN | RA | APPROVED | 2013-10-03 |
Branch Locations
8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610 • United States
Carmel, IN • 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 | Indianapolis | IN | 09/2013 | Present |
| City National Bank | Indianapolis | IN | 08/2019 | Present |
(1) NAME OF ENTITY: KILT GROUP INDY; ADDRESS: N/A; BUSINESS DESCRIPTION: RESTAURANT; START DATE: 12/01/2011; NOT INVESTMENT RELATED; CAPACITY: OWNER PASSIVE; DUTIES: NONE; HOURS DEVOTED PER MONTH: NONE; HOURS DEVOTED DURING TRADING: NONE; (2) NAME OF ENTITY: BOTTLENECK MANAGEMENT; ADDRESS:: 670 W HUBBARD STREET, CHICAGO, IL 60654; BUSINESS DESCRIPTION: RESTAURANT OWNERSHIP; START DATE: 03/01/2010; NOT INVESTMENT RELATED; CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER MONTH: NONE; HOURS DEVOTED DURING TRADING: NONE; (3) NAME OF ENTITY: BCC REAL ESTATE: ADDRESS: 414 SHOEMAKER DR. CCARMEL, IN 46032; BUSINESS DESCRIPTION: REAL ESTATE; START DATE: 08/01/2007; NOT INVESTMENT RELATED; CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER MONTH: NONE; HOURS DEVOTED DURING TRADING: NONE; (4) NAME OF ENTITY: KAI HOLDINGS; ADDRESS: 10412 ALLISONVILLE DR., STE 204, FISHERS, IN 46038; BUSINESS DESCRIPTION: REAL ESTATE: START DATE: 11/18/2004; INVESTMENT RELATED; CAPACITY; OWNER-PASSIVE; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 8; HOURS DEVOTED DURING TRADING HOURS: NONE; (5) HORSE RACING; ADDRESS: HOOSIER PARK, ANDERSON, IN; BUSINESS DESCRIPTION: HORSE RACING; NOT INVESTMENT RELATED; START DATE: 08/15/2017; CAPACITY: OWNER-PASSIVE; DUTIES: HOBBY; HOURS DEVOTED PER WEEK: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (6) BONITA BEAHWALK INTENT TO BE A CANDIDATE ON THE HOA OF CONDO IN FLORIDA; ADDRESS: 15751 SAN CARLOS BLVD, FT. MEYERS, FL 33908; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: CONDO ASSOCIATION; CAPACITY: BOARD OF DIRECTORS; START DATE: 04/01/2019; DUTIES: BOARD MEETING TO DECIDE THE BEST OUTCOME FOR THE COMMUNITY; HOURS DEVOTED PER MONTH: 2 PER QUARTER; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; (7) Name: The O'connor house Address: 45 N Village Dr. Carmel In 46032 Business Description: Non for profit charity Business is not investment related Projected Start Date: 08/05/20 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: Help make decisions for the O'connor house Teen pregnancy, support and help raise money for the house. Devoted to this OBA per Month: 2 Hours Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-23 |
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