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Terence Gerard Tracy

Rbc Capital Markets, LLC

Rye Brook, NY

New York, NY

CRD 1021527

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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 2024-10-10
TX RA APPROVED 2024-10-10
  • NY RA
    APPROVED
    Since 2024-10-10
  • TX RA
    APPROVED
    Since 2024-10-10

Branch Locations

Rye Brook, NY • United States

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • 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
Citigroup Global Markets Inc New York NY 05/2009 10/2024
Rbc Capital Markets, Llc New York NY 10/2024 Present
  • 05/2009 → 10/2024
    Citigroup Global Markets Inc
    New York, NY
  • 10/2024 → Present
    Rbc Capital Markets, Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-28
S65 Uniform Investment Adviser Law Examination 1999-05-06
S63 Uniform Securities Agent State Law Examination 1996-09-20
  • S66 Uniform Combined State Law Examination
    2024-08-28
  • S65 Uniform Investment Adviser Law Examination
    1999-05-06
  • S63 Uniform Securities Agent State Law Examination
    1996-09-20

View on SEC IAPD

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