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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2012-11-09 |
| TX | RA | APPROVED | 2012-11-09 |
Branch Locations
655 W. Broadway Ste 1000, San Diego, CA 92101-8485 • United States
San Diego, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | La Jolla | CA | 11/2012 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 2008-11-18 |
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