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Chase Cates

Rbc Capital Markets, LLC

New York, NY

CRD 7580053

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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
AZ RA APPROVED 2026-03-05
NM RA APPROVED 2026-02-27
  • AZ RA
    APPROVED
    Since 2026-03-05
  • NM RA
    APPROVED
    Since 2026-02-27

Branch Locations

200 Vesey St., New York, NY 10281 • 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
Mfs Fund Distributors, Inc. Phoenix AZ 06/2022 01/2026
Cooper's Hawk Winery And Restaurant Phoenix AZ 05/2021 08/2021
Chicago Justice Project Remote AZ 01/2021 05/2021
Manzano Day School Albuquerque NM 05/2019 08/2019
Flix Brewhouse Albuquerque NM 12/2017 07/2018
Bosque School Albuquerque NM 05/2017 08/2017
Arizona State University Tempe AZ 08/2018 05/2022
Bosque High School Albuquerque NM 08/2014 05/2018
Rbc Capital Markets, Llc Phoenix AZ 01/2026 Present
  • 06/2022 → 01/2026
    Mfs Fund Distributors, Inc.
    Phoenix, AZ
  • 05/2021 → 08/2021
    Cooper's Hawk Winery And Restaurant
    Phoenix, AZ
  • 01/2021 → 05/2021
    Chicago Justice Project
    Remote, AZ
  • 05/2019 → 08/2019
    Manzano Day School
    Albuquerque, NM
  • 12/2017 → 07/2018
    Flix Brewhouse
    Albuquerque, NM
  • 05/2017 → 08/2017
    Bosque School
    Albuquerque, NM
  • 08/2018 → 05/2022
    Arizona State University
    Tempe, AZ
  • 08/2014 → 05/2018
    Bosque High School
    Albuquerque, NM
  • 01/2026 → Present
    Rbc Capital Markets, Llc
    Phoenix, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-02-26
S63 Uniform Securities Agent State Law Examination 2022-07-25
  • S66 Uniform Combined State Law Examination
    2026-02-26
  • S63 Uniform Securities Agent State Law Examination
    2022-07-25

View on SEC IAPD

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