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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 |
|---|---|---|---|
| VI | RA | APPROVED | 2025-04-25 |
| NJ | RA | APPROVED | 2025-04-21 |
| NY | RA | APPROVED | 2025-04-17 |
| TX | RA | APPROVED | 2025-04-17 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fisher Investments | Tampa | FL | 08/2021 | 05/2022 |
| Ndl | Yonkers | NY | 06/2021 | 07/2021 |
| Merrill Lynchl-Bank Of America | New York | NY | 05/2022 | 10/2022 |
| Td Bank N.A. | New York | NY | 10/2022 | 02/2023 |
| Td Private Client Wealth Llc | New York | NY | 10/2022 | 02/2023 |
| J.P. Morgan Securities Llc | New York | NY | 03/2023 | 04/2025 |
| Jpmorgan Chase Bank, N.A. | New York | NY | 03/2023 | 04/2025 |
| James Madison University | Harrisonburg | VA | 12/2019 | 03/2020 |
| Ups | Holmes | NY | 12/2019 | 01/2020 |
| Crystal Clear Pools | Carmel | NY | 07/2018 | 05/2019 |
| 103 Gleneida Avenue Llc | Carmel | NY | 01/2015 | 03/2017 |
| Unemployed | Holmes | NY | 04/2017 | 06/2018 |
| Unemployed | Holmes | NY | 06/2019 | 11/2019 |
| Unemployed | Holmes | NY | 04/2020 | 05/2021 |
| Rbc Capital Markets, Llc | New York City | NY | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-06-20 |
| S65 | Uniform Investment Adviser Law Examination | 2021-12-07 |
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