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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
NC RA APPROVED 2025-04-17
  • NC RA
    APPROVED
    Since 2025-04-17

Branch Locations

Wilmington, NC • United States

1055 Military Cutoff Road Suite 200, Wilmington, NC 28405-4367 • 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 Clearing Services, Llc Winston Salem NC 01/2025 04/2025
North Carolina State University Raleigh NC 08/2021 12/2024
Rbc Wealth Management Wilmington NC 05/2024 08/2024
Truist Investment Services, Inc. Wilmington NC 05/2023 08/2023
Harris Teeter Hampstead NC 01/2019 07/2020
N/A Hampstead NC 01/2014 01/2019
N/A Hampstead NC 07/2020 08/2021
Rbc Capital Markets, Llc Wilmington NC 04/2025 Present
  • 01/2025 → 04/2025
    Winston Salem, NC
  • 08/2021 → 12/2024
    North Carolina State University
    Raleigh, NC
  • 05/2024 → 08/2024
    Rbc Wealth Management
    Wilmington, NC
  • 05/2023 → 08/2023
    Truist Investment Services, Inc.
    Wilmington, NC
  • 01/2019 → 07/2020
    Harris Teeter
    Hampstead, NC
  • 01/2014 → 01/2019
    N/A
    Hampstead, NC
  • 07/2020 → 08/2021
    N/A
    Hampstead, NC
  • 04/2025 → Present
    Wilmington, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-17
  • S66 Uniform Combined State Law Examination
    2025-03-17

View on SEC IAPD

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