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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-01-02 |
| KS | RA | APPROVED | 2022-11-04 |
| MO | RA | APPROVED | 2020-02-20 |
Branch Locations
4001 W. 114Th St Suite 200, Leawood, KS 66211-2604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services | Leawood | KS | 04/2012 | 05/2017 |
| Rbc Capital Markets, Llc | Leawood | KS | 05/2017 | Present |
NAME OF ENTITY: BATH AND BODY WORKS; ADDRESS: 5012 W 119TH ST LEAWOOD, KS 66209; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SELL LOTIONS, BODY WASH, CANDLES, ETC; CAPACITY: EMPLOYEE; START DATE: 10/2019; DUTIES: SELLING PRODUCTS; HOURS DEVOTED PER MONTH: 10-15; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 2019-07-29 |
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