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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
NJ RA APPROVED 2025-07-28
  • NJ RA
    APPROVED
    Since 2025-07-28

Branch Locations

West Orange, NJ • United States

9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • 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
Rbc Capital Markets, Llc Florham Park NJ 06/2025 Present
Morgan Stanley Short Hills NJ 05/2023 08/2023
Morgan Stanley Short Hills NJ 05/2024 08/2024
Student West Orange NJ 01/2015 05/2023
Student West Orange NJ 08/2023 05/2024
Student West Orange NJ 08/2023 05/2024
Student West Orange NJ 08/2024 06/2025
  • 06/2025 → Present
    Florham Park, NJ
  • 05/2023 → 08/2023
    Morgan Stanley
    Short Hills, NJ
  • 05/2024 → 08/2024
    Morgan Stanley
    Short Hills, NJ
  • 01/2015 → 05/2023
    Student
    West Orange, NJ
  • 08/2023 → 05/2024
    Student
    West Orange, NJ
  • 08/2023 → 05/2024
    Student
    West Orange, NJ
  • 08/2024 → 06/2025
    Student
    West Orange, NJ
Other Businesses

Caddie at Hamilton Farm Golf Club The business is unrelated to investments 1040 Pottersville Road, Gladstone, NJ, 07934, United States Providing golfers on-course advice Caddie Caddie, independent contractor June 2021 24 hours / month devoted to caddying (6 days per month, weekends only) 0 hours devoted to caddying during securities house Duties include providing excellent customer service to member golfers through conversations as it pertains to their round of golf

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-02-14
  • S66 Uniform Combined State Law Examination
    2025-02-14
Other Names
  • Michele V Cestone

View on SEC IAPD

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