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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 | 2022-09-29 |
| NY | RA | APPROVED | 2021-10-13 |
| NJ | RA | APPROVED | 2020-10-19 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
Harrison, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Chase Bank Na | New York | NY | 11/2015 | 10/2020 |
| Jpmorgan Securities Llc | New York | NY | 10/2015 | 10/2020 |
| Rbc Capital Markets, Llc | New York | NY | 10/2020 | Present |
(1) NAME OF ENTITY: Self ADDRESS: 1200 Frank E Rodgers Blvd S, Apt 1128 Harrison NJ 07029 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Personal Training CAPACITY: Owner - Active START DATE: 09/01/2023 DUTIES: N/A HOURS DEVOTED PER MONTH: 10 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-02-05 |
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