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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-06 |
| NJ | RA | APPROVED | 2009-12-07 |
| TX | RA | APPROVED | 2009-12-04 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
Ridgewood, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets | New York | NY | 12/2009 | Present |
WEST SIDE PRESBYTERIAN CHURCH; ADDRESS: 6 SOUTH MONROE ST RIDGEWOOD, NJ 07450; BUSINESS DESCRIPTION: CHURCH/NON-PROFIT; NOT INVESTMENT RELATED; START DATE: 03/13/2019; CAPACITY: ASSISTANT TREASURER; DUTIES: CO-SIGNER OF CHECKS GREATER THAN $10,000; HOURS DEVOTED PER WEEK: LESS THAN 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-27 |
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