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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 |
|---|---|---|---|
| SD | RA | APPROVED | 2020-12-22 |
| TX | RA | APPROVED_RES | 2020-10-23 |
Branch Locations
243 Founders Park Drive Suite 101, Rapid City, SD 57709-8479 • United States
Rapid City, SD • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Rapid City | SD | 08/2006 | 10/2020 |
| Rbc Capital Markets, Llc | Rapid City | SD | 10/2020 | Present |
NAME OF ENTITY: Rapid City Christian School ADDRESS: 23757 Arena Dr. Rapid City, SD 57702 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private School CAPACITY: Board of Directors START DATE: 8/17/2021 DUTIES: School Board Member HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2000-04-26 |
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