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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 |
|---|---|---|---|
| VI | RA | APPROVED | 2026-06-03 |
| TX | RA | APPROVED_RES | 2026-05-04 |
| PA | RA | APPROVED | 2026-04-30 |
| NJ | RA | APPROVED | 2026-04-29 |
Branch Locations
3000 Atrium Way Suite 500, Mount Laurel, NJ 08054-3914 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Mount Laurel | NJ | 09/2012 | 04/2026 |
| Rbc Capital Markets, Llc | Mount Laurel | NJ | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 1981-08-14 |
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