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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
NY RA APPROVED 2021-08-06
TX RA APPROVED_RES 2018-11-29
  • NY RA
    APPROVED
    Since 2021-08-06
  • TX RA
    APPROVED_RES
    Since 2018-11-29

Branch Locations

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States

New York, NY • 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 New York NY 03/2008 Present
City National Bank New York NY 01/2017 08/2021
Other Businesses

FORTIS GROUP - 125 EAST 56TH STREET. NEW YORK, NY 10022. THE NATURE OF THE BUSINESS IS REAL ESTATE. IN 1995 I BECAME A MEMBER OF THE THE BOARD OF DIRECTORS. THERE IS NO PROJECTED END DATE AT THIS TIME. I DEVOTE 1 HOUR PER MONTH TO THIS PROJECT. GIULANO DA MAINNO SRL. NO END DATE. INVESTMENT ADVISOR. DEVOTE 1 HR PER MONTH. (2.) ENTITY: VARDAR LIMITED. ADDRESS OF BUSINESS: C/O GIORGIO ABBATI-BUSSETTI VIA BRUXELLES 59 ROME ITALY. NATURE OF BUSINESS: REAL ESTATE. START DATE: 12/01/92 END DATE: 12/01/35 POSITION: OWNER(ACTIVE) 0 HOURS DEVOTED PER WEEK, 0 HOURS DEVOTED DURING SECURITY TRADING HOURS. DUTIES: NONE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-22
  • S66 Uniform Combined State Law Examination
    2001-01-22

View on SEC IAPD

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