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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
NJ RA APPROVED 2022-05-24
TX RA APPROVED 2022-05-20
  • NJ RA
    APPROVED
    Since 2022-05-24
  • TX RA
    APPROVED
    Since 2022-05-20

Branch Locations

328 Newman Springs Road Suite 380, Red Bank, NJ 07701-5687 • United States

100 Second Avenue South Suite 800, St. Petersburg, FL 33701-4337 • United States

Red Bank, NJ • 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 New York NY 02/2013 05/2022
Morgan Stanley Private Bank, N.A. New York NY 10/2018 05/2022
Rbc Capital Markets, Llc St. Petersburg FL 05/2022 Present
City National Bank St. Petersburg FL 02/2023 Present
  • 02/2013 → 05/2022
    New York, NY
  • 10/2018 → 05/2022
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 05/2022 → Present
    St. Petersburg, FL
  • 02/2023 → Present
    City National Bank
    St. Petersburg, FL
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: Gupta Rental Properties ADDRESS: 20149 63rd Ave Corcoran MN 55340 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: May 01, 2024 CAPACITY: Owner DUTIES: Managing repairs/maintenance and finding tenants HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (2) NAME OF ENTITY: Aine Tomasso ADDRESS: 83 John St Red Bank NJ 07701 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Apr 15, 2025 CAPACITY: Owner DUTIES: Purchased rental property HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-01
  • S66 Uniform Combined State Law Examination
    2013-11-01
Other Names
  • Aine Byrne

View on SEC IAPD

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