Anupa Ann Philip

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2019 → 12/2019
  Fidelity Personal And Workplace Advisors
  West Lake, TX
• 02/2019 → 12/2019
  Fidelity Brokerage Services Llc
  West Lake, TX
• 11/2016 → 02/2019
  Capital One Investing, Llc
  Plano, TX
• 11/2016 → 02/2019
  Capital One Advisors, Llc
  Plano, TX
• 01/2020 → 03/2022
  Jpmorgan Chase Bank, N.A.
  Plano, TX
• 01/2020 → 03/2022
  J.P. Morgan Securities Llc
  Plano, TX
• 11/2011 → 10/2016
  Wells Fargo Bank, N.A.
  Gilbert, AZ
• 02/2019 → 12/2019
  Fidelity Investments
  West Lake, TX
• 05/2015 → 10/2016
  Wells Fargo Advisors
  Plano, TX
• 04/2022 → 12/2023
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX
• 05/2024 → Present
  Rbc Capital Markets, Llc
  Dallas, TX
• 01/2024 → 05/2024
  Unemployed
  Little Elm, TX

Previous Registrations

• 2023-01-30 → 2024-01-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX
  New York, NY
  Dallas, TX
• 2020-02-20 → 2022-04-13
  J.P. Morgan Securities Llc
  Plano, TX
  Plano, TX
  Plano, TX
  San Antonio, TX
  Plano, TX
  San Antonio, TX
  Plano, TX
  Plano, TX
• 2019-03-27 → 2019-12-16
  Fidelity Personal And Workplace Advisors
  Westlake, TX
• 2017-09-20 → 2019-02-12
  Capital One Advisors, Llc
  Plano, TX
  Mclean, VA
• 2014-08-19 → 2016-10-27
  Wells Fargo Clearing Services, Llc
  Puyallup, WA
  Seattle, WA
  Chandler, AZ
  Gilbert, AZ
  Scottsdale, AZ
  Plano, TX
  Fort Worth, TX
  Frisco, TX

Other Businesses

Entity Name: rental property Investment related: Y Address: 246 & 250 Cedar Heights Circleville, Oh 43113 Nature of the other business: Rental Property Position/Title/Relationship: Personally investing in or owning another company Start Date: 07-01-2018 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 during trading hours Briefly describe your duties: we have another house that we rent out.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-08-19
• S63 Uniform Securities Agent State Law Examination
  2013-09-18

Other Names

• Anupa Ann Philip
• Anupa Philip