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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-09-23 |
| TX | RA | APPROVED | 2024-09-16 |
Branch Locations
2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 03/2017 | 06/2018 |
| Survey Sampling International | Mesa | AZ | 08/2016 | 03/2017 |
| Charles Schwab & Co., Inc. | Phoenix | AZ | 06/2018 | 12/2020 |
| Ubs Financial Services Inc. | Phoenix | AZ | 01/2021 | 01/2022 |
| Morgan Stanley | Tempe | AZ | 01/2022 | 09/2024 |
| Rbc Capital Markets, Llc | Phoenix | AZ | 09/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 2017-05-04 |
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