Erik Lee Yates

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

Authority	Category	Status	Date
MN	RA	APPROVED	2023-11-15

MN RA
APPROVED

Since 2023-11-15

Branch Locations

200 Vesey St., New York, NY 10281 • UNITED STATES

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets Llc	Minneapolis	MN	04/2006	Present

04/2006 → Present

Rbc Capital Markets Llc

Minneapolis, MN

Other Businesses

(1) Freelance musician (2000-present), not investment-related; approx. 15 hours/month, during weeknights and weekends. (2) NAME OF ENTITY: Erik Yates ADDRESS: 342 Colleen Drive Vadnais Heights, MN 55127 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Freelance Musician 04/01/2023 CAPACITY: Sole Proprietor START DATE: 04/01/2023 DUTIES: Musical performances and other music-related activities HOURS DEVOTED PER MONTH: 10 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-11-15

S66 Uniform Combined State Law Examination

2023-11-15

View on SEC IAPD