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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-30 |
| CA | RA | APPROVED | 2005-04-13 |
Branch Locations
610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448 • United States
Newport Beach, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Newport Beach | CA | 03/2008 | Present |
(1) Name of Entity - N/A Address - 228 Goldenrod Corona Del Mar CA. 92625 Business Description - Rental Property Projected Start Date: 07/01/2008 Capacity: Owner- Active Duties Performed: None Hours Devoted to this OBA per Month: 2 Hours Devoted to this OBA during business hours: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-15 |
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