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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2026-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Minneapolis | MN | 03/2008 | Present |
(1) RENTAL PROPERTY; ADDRESS: 1617 MORNING SUN LANE, NAPLES, FL 34119; BUSINESS DESCRIPTION: RENTAL INCOME; NOT INVESTMENT RELATED; START DATE: 01/01/2008; CAPACITY: OWNER-ACTIVE; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE (2) NAME OF ENTITY: Heritage Greens Club Homes IV HOA ADDRESS: Sandcastle Property Mgmt 9150 Galleria Ct, #201 Naples Florida 34109 INVESTMENT/NOT INVESTMENT RELATED: Yes - Will be part of the voting decisions to allocate cash to HOA accts for home improvements. May influence or suggest CD investments at the local bank to increase the yields on cash. BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01/08/2025 CAPACITY: Board of Directors DUTIES: Serve on my HOA's board of directors to assist the community make neighborhood decisions. Assist with budgeting and managing neighbor issues and concerns. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-07-10 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-11 |
| S65 | Uniform Investment Adviser Law Examination | 1994-04-11 |
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