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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-11-19 |
Branch Locations
250 Nicollet Mall Suite 1200, 16Th Floor, Minneapolis, MN 55401 • United States
Bloomington, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Minneapolis | MN | 03/2008 | Present |
(1) Name of Entity - Municipal Securities Rulemaking Board - Address - 1300 I Street NW, Suite 1000 | Washington, DC 20005 - Business Description - Government Institution - Business is/is not investment related - Is not investment related - Projected Start Date: Oct 05, 2022 - Capacity: Board Member - Duties Performed: Advisory - Hours Devoted to this OBA: 12 - Hours Devoted to this OBA during business hours: 12
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-21 |
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