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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
SD RA APPROVED 2026-04-27
IA RA APPROVED 2026-04-25
  • SD RA
    APPROVED
    Since 2026-04-27
  • IA RA
    APPROVED
    Since 2026-04-25

Branch Locations

200 Gold Circle Suite 100, Dakota Dunes, SD 57049 • United States

Sioux City, IA • 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
Rbc Capital Markets, Llc North Sioux City SD 03/2025 Present
Farm Bureau Financial Services/Gordon Drive Partners Sioux City IA 03/2022 03/2025
Lawton-Bronson Community School District Lawton IA 10/2014 03/2022
  • 03/2025 → Present
    North Sioux City, SD
  • 03/2022 → 03/2025
    Farm Bureau Financial Services/Gordon Drive Partners
    Sioux City, IA
  • 10/2014 → 03/2022
    Lawton-Bronson Community School District
    Lawton, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-04-24
  • S66 Uniform Combined State Law Examination
    2026-04-24

View on SEC IAPD

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