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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 | 2023-01-09 |
| IN | RA | APPROVED | 2023-01-04 |
Branch Locations
8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610 • United States
Fort Wayne, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Benefit Plans Plus, Llc | Fort Wayne | IN | 11/2015 | 06/2022 |
| Ubs Financial Services Inc. | Indianapolis | IN | 06/2022 | 10/2022 |
| Rbc Capital Markets, Llc | Indianapolis | IN | 10/2022 | Present |
NAME OF ENTITY: Plan Consultant Magazine an ASPPA Publication ADDRESS: 4401 N. Fairfax Drive, Suite 600 Arlington, VA 22203 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Serve on editorial committee for publication CAPACITY: Other - Editorial and Content Committee Member START DATE: 09/01/12 DUTIES: I along with the other committee members discuss retirement plan related topics that would be strong article topics for the magazine. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-01-04 |
| S65 | Uniform Investment Adviser Law Examination | 2009-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 2006-03-08 |
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