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Griffin Wellington

Rbc Capital Markets, LLC

New York, NY

New York, NY

CRD 7889853

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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
VI RA APPROVED 2025-04-25
NY RA APPROVED 2025-04-17
TX RA APPROVED 2025-04-17
  • VI RA
    APPROVED
    Since 2025-04-25
  • NY RA
    APPROVED
    Since 2025-04-17
  • TX RA
    APPROVED
    Since 2025-04-17

Branch Locations

New York, NY • United States

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • 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
J.P. Morgan Securities Llc New York NY 03/2024 04/2025
Jpmorgan Chase Bank, N.A. New York NY 03/2024 04/2025
Factset Research Systems Inc New York NY 06/2023 03/2024
Berkley Cyber Risk Solutions Morristown NJ 06/2022 07/2022
Hampton Country Day Camp East Hampton NY 07/2021 08/2021
University Of Miami Coral Gables FL 08/2019 05/2023
Hcdc Holdings Llc East Hampton NY 07/2019 08/2021
Unemployed Livingston NJ 03/2014 06/2019
Rbc Capital Markets, Llc New York NY 04/2025 Present
  • 03/2024 → 04/2025
    J.P. Morgan Securities Llc
    New York, NY
  • 03/2024 → 04/2025
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 06/2023 → 03/2024
    Factset Research Systems Inc
    New York, NY
  • 06/2022 → 07/2022
    Berkley Cyber Risk Solutions
    Morristown, NJ
  • 07/2021 → 08/2021
    Hampton Country Day Camp
    East Hampton, NY
  • 08/2019 → 05/2023
    University Of Miami
    Coral Gables, FL
  • 07/2019 → 08/2021
    Hcdc Holdings Llc
    East Hampton, NY
  • 03/2014 → 06/2019
    Unemployed
    Livingston, NJ
  • 04/2025 → Present
    Rbc Capital Markets, Llc
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-15
  • S66 Uniform Combined State Law Examination
    2024-08-15

View on SEC IAPD

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