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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 | 2018-12-07 |
| TX | RA | APPROVED_RES | 2015-02-05 |
| MN | RA | APPROVED | 2013-11-13 |
| AK | RA | APPROVED | 2006-03-16 |
Branch Locations
7650 Edinborough Way Suite 800, Edina, MN 55435-5982 • United States
Eden Prairie, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Edina | MN | 03/2008 | Present |
| City National Bank | Edina | MN | 10/2016 | Present |
(1) Name: Minnesota Ovarian Cancer Alliance (MOCA) Address: 4606 Chicago Ave Minneapolis, Mn 55407 Business Description: Nonprofit that supports, educates and funds research for ovarian cancer Business is not investment related Projected Start Date: 05/18/20 Capacity: Board of Directors * Duties Performed: description of duties will be sent separately Devoted to this OBA per Month: An hour Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-15 |
| S65 | Uniform Investment Adviser Law Examination | 1999-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 1983-11-16 |
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