Best Investors Account Sign in

George Ly

Rbc Capital Markets, LLC

San Francisco, CA

Boston, MA

Richmond, CA

CRD 5583230

Claim This Profile
Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2025-08-06
TX RA APPROVED 2025-08-04
CA RA APPROVED 2025-06-04
  • VI RA
    APPROVED
    Since 2025-08-06
  • TX RA
    APPROVED
    Since 2025-08-04
  • CA RA
    APPROVED
    Since 2025-06-04

Branch Locations

345 California Street, San Francisco, CA 94104-2642 • United States

53 State Street Suite 3600, Boston, MA 02109-1875 • United States

Richmond, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley San Francisco CA 06/2021 06/2025
Chase Bank Berkeley CA 12/2013 12/2017
Patelco Berkeley CA 12/2017 06/2021
Rbc Capital Markets, Llc San Francisco CA 06/2025 Present
  • 06/2021 → 06/2025
    Morgan Stanley
    San Francisco, CA
  • 12/2013 → 12/2017
    Chase Bank
    Berkeley, CA
  • 12/2017 → 06/2021
    Patelco
    Berkeley, CA
  • 06/2025 → Present
    Rbc Capital Markets, Llc
    San Francisco, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-07-16
  • S66 Uniform Combined State Law Examination
    2021-07-16

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

More in San Francisco, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor