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Catherine Ann Playford

Rbc Capital Markets, LLC

Bensalem, PA

Conshohocken, PA

CRD 3186046

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-09-04
TX RA APPROVED 2024-09-03
  • PA RA
    APPROVED
    Since 2024-09-04
  • TX RA
    APPROVED
    Since 2024-09-03

Branch Locations

Bensalem, PA • United States

Six Tower Bridge, 181 Washington Street Suite 500, Conshohocken, PA 19428-2000 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Philadelphia PA 05/2012 11/2016
Wells Fargo Clearing Services, Llc Philadelphia PA 11/2016 08/2024
Rbc Capital Markets, Llc Conshohocken PA 08/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-22
  • S66 Uniform Combined State Law Examination
    2003-05-22
Other Names
  • Catherine A Playford
  • Catherine A Baker
  • Catherine A Playford
  • Catherine Baker
  • Catherine A Playford

View on SEC IAPD

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