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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 |
|---|---|---|---|
| VI | RA | APPROVED | 2025-04-25 |
| NY | RA | APPROVED | 2025-04-17 |
| TX | RA | APPROVED | 2025-04-17 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Weehawken | NJ | 11/2013 | 11/2022 |
| First Republic Securities Company, Llc | New York | NY | 11/2022 | 09/2023 |
| First Republic Investment Management, Inc | New York | NY | 11/2022 | 09/2023 |
| J.P. Morgan Securities Llc | New York | NY | 09/2023 | 04/2025 |
| Jp Morgan Chase Bank, N.A. | New York | NY | 10/2023 | 04/2025 |
| Rbc Capital Markets, Llc | New York | NY | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-05-15 |
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