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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 | 2006-08-25 |
| TX | RA | APPROVED | 2006-08-25 |
Branch Locations
345 California Street, San Francisco, CA 94104-2642 • United States
San Rafael, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | San Francisco | CA | 03/2008 | Present |
| City National Bank | San Francisco | CA | 02/2017 | Present |
(1) AS YOU SOW; ADDRESS: 1611 TELEGRAPH AVE SUITE 1450 OAKLAND, CA 94612; BUSINESS DESCRIPTION: NON-PROFIT CORPORATE RESPONSIBILITY; NOT INVESTMENT RELATED; START DATE: 06/01/1992; CAPACITY: BOARD OF DIRECTORS; DUTIES: BOARD MEMBER, FUNDRAISING, STRATEGY, VISIONARY; HOURS DEVOTED PER WEEK: LESS THAN 4; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) NAME OF ENTITY: RENTAL PROPERTY; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RENTAL PROPERTY; CAPACITY: OWNER-ACTIVE; START DATE: 10/2019; DUTIES: RENTAL PROPERTY UPKEEP; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (3) As You Sow1611 Telegraph Avenue, Suite 1450 Oakland, CA 94612 Non-profit B Corporate Responsibility06/01/92 YesWe provide an investment tool for educational purposes as the disclaimer on the website clearly states. Board of Directors *Board member, fundraising, strategy, creates a vision business plan that the non-profit executes on. less than 4 hours week0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-01-08 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-08 |
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