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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-03-05 |
| NY | RA | APPROVED | 2024-02-23 |
| TX | RA | APPROVED_RES | 2024-02-23 |
Branch Locations
5786 Widewaters Pkwy Suite 2, Syracuse, NY 13214-3500 • United States
Avalon, NJ • United States
Jamesville, NY • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Syracuse | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Syracuse | NY | 11/2016 | 02/2024 |
| Rbc Capital Markets, Llc | Syracuse | NY | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 1983-12-02 |
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