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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
TX RA APPROVED 2023-07-24
NJ RA APPROVED 2022-12-05
  • TX RA
    APPROVED
    Since 2023-07-24
  • NJ RA
    APPROVED
    Since 2022-12-05

Branch Locations

Bridgewater, NJ • United States

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • 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 Florham Park NJ 07/2021 Present
A La Cart Clinton NJ 11/2019 09/2020
Sushi Room Annandale NJ 10/2018 10/2019
Buffalo Wild Wings Flemington NJ 01/2017 12/2020
Citispot Clinton NJ 01/2015 12/2016
Imperial Pool Management Lebanon NJ 01/2015 12/2016
Unemployed Annandale NJ 01/2021 07/2021
Education Annandale NJ 01/2010 12/2021
  • 07/2021 → Present
    Florham Park, NJ
  • 11/2019 → 09/2020
    A La Cart
    Clinton, NJ
  • 10/2018 → 10/2019
    Sushi Room
    Annandale, NJ
  • 01/2017 → 12/2020
    Buffalo Wild Wings
    Flemington, NJ
  • 01/2015 → 12/2016
    Citispot
    Clinton, NJ
  • 01/2015 → 12/2016
    Imperial Pool Management
    Lebanon, NJ
  • 01/2021 → 07/2021
    Unemployed
    Annandale, NJ
  • 01/2010 → 12/2021
    Education
    Annandale, NJ
Other Businesses

(1) NAME: Hudmed Llc Non-Investment Related Nature of OBA: Hospital Sanitation Company Position/Title/Relationship: Employee Start Date: 08/11/22 Time devoted: 12-Jun Duties: I would be assisting in cleaning hospital rooms overnight while the hospital is closed. (2) NAME OF ENTITY: Grape Expectations, Inc. ADDRESS: 25 Kearney St. Bridgewater NJ 08807 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 21/06/2025 CAPACITY: Other DUTIES: I will be cleaning and preparing wine barrels and cleaning up around the facility. HOURS DEVOTED PER MONTH: 4 - 10 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 4 - 10 Hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-02
  • S66 Uniform Combined State Law Examination
    2022-12-02

View on SEC IAPD

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