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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2022-04-04 |
Branch Locations
1901 Avenue Of The Stars Suite 1400, Century City, CA 90067-6089 • United States
Agoura Hills, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Beverly Hills | CA | 01/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Beverly Hills | CA | 11/2016 | 04/2022 |
| Rbc Capital Markets, Llc | Beverly Hills | CA | 04/2022 | Present |
| City National Bank | Beverly Hills | CA | 03/2025 | Present |
NAME OF ENTITY: American Cancer Society ADDRESS: 100 Corporate Pointe #350 Culver City, CA 90230 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Charitable organization which funds cancer research and services. CAPACITY: Other - Chairman, Charity Golf Tournament START DATE: 07/17/22 DUTIES: Prior to joining RBC, I have been involved with this annual charity fundraiser for 20 years as Chairman or Co-Chairman. My primary responsibility will be helping to organize the event. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-03-08 |
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