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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 | 2020-12-03 |
| FL | RA | APPROVED | 2020-12-01 |
Branch Locations
200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States
Boynton Beach, FL • 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 |
|---|---|---|---|---|
| Morgan Stanley & Co. Incorporated | Short Hills | NJ | 05/2009 | 09/2017 |
| Morgan Stanley Smith Barney | Short Hills | NJ | 06/2009 | 09/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2017 |
| Rbc Capital Markets, Llc | Florham Park | NJ | 09/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 1986-02-27 |
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