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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
TX RA APPROVED_RES 2021-05-05
UT RA APPROVED 2021-05-04
  • TX RA
    APPROVED_RES
    Since 2021-05-05
  • UT RA
    APPROVED
    Since 2021-05-04

Branch Locations

1260 E Stringham Avenue Suite 300, Salt Lake City, UT 84106-2963 • United States

South Jordan, UT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith, Inc Salt Lake City UT 03/2000 05/2021
Bank Of America,N.A. Salt Lake City UT 06/2011 05/2021
Rbc Capital Markets, Llc Salt Lake City UT 05/2021 Present
City National Bank Salt Lake City UT 03/2022 Present
  • 03/2000 → 05/2021
    Merrill Lynch, Pierce, Fenner & Smith, Inc
    Salt Lake City, UT
  • 06/2011 → 05/2021
    Bank Of America,N.A.
    Salt Lake City, UT
  • 05/2021 → Present
    Salt Lake City, UT
  • 03/2022 → Present
    City National Bank
    Salt Lake City, UT
Previous Registrations
Other Businesses

1) NAME OF ENTITY: 2Shooting Star LLC ADDRESS: 1325 E Toliman Way, Washington, Utah, 84780 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Fund Family START DATE: 01/03/2025 CAPACITY: Owner DUTIES: Trust owns the LLC and I am the manager HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-03-25
  • S66 Uniform Combined State Law Examination
    2000-03-25
Other Names
  • Quinn Michael Jensen
  • Quinn I Jensen

View on SEC IAPD

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