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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-02-05 |
| CA | RA | APPROVED | 2012-11-09 |
Branch Locations
655 W. Broadway Ste 1000, San Diego, CA 92101-8485 • United States
San Diego, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | La Jolla | CA | 11/2012 | Present |
| City National Bank | La Jolla | CA | 09/2016 | Present |
SAN DIEGO HIGH SCHOOL ACADEMY OF FINANCE; ADDRESS: 1405 PARK BLVD SAN DIEGO, CA 92101; BUSINESS DESCRIPTION: MENTOR AND ADVISORY BOARD MEMBER; NOT INVESTMENT RELATED; START DATE: 11/18/2012; CAPACITY: BOARD OF DIRECTORS; DUTIES: MENTORING STUDENTS AND PROVIDING GUIDANCE; HOURS DEVOTED PER WEEK: 2; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 1981-03-03 |
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