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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2025-10-06 |
| VI | RA | APPROVED | 2019-11-21 |
| MN | RA | APPROVED | 2017-11-19 |
| TX | RA | APPROVED_RES | 2017-11-13 |
Branch Locations
1819 Main Street Suite 1100, Sarasota, FL 34236-5999 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith | St. Paul | MN | 01/2001 | 06/2017 |
| The Oak Ridge Financial Services Group, Inc. | Golden Valley | MN | 07/2017 | 11/2017 |
| Rbc Capital Markets, Llc | St. Paul | MN | 11/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-28 |
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