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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 2025-04-14
TX RA APPROVED 2025-04-07
PA RA APPROVED 2025-03-04
  • VI RA
    APPROVED
    Since 2025-04-14
  • TX RA
    APPROVED
    Since 2025-04-07
  • PA RA
    APPROVED
    Since 2025-03-04

Branch Locations

Bryn Mawr, PA • United States

130 N. 18Th Street One Logan Square, 17Th Floor, Philadelphia, PA 19103-6933 • 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
Allianz Life - Roster Minneapolis MN 02/2007 03/2025
Questar Capital Corporation Minneapolis MN 03/2011 03/2025
Rbc Capital Markets, Llc Minneapolis MN 03/2025 Present
City National Bank Minneapolis MN 04/2025 Present
  • 02/2007 → 03/2025
    Allianz Life - Roster
    Minneapolis, MN
  • 03/2011 → 03/2025
    Questar Capital Corporation
    Minneapolis, MN
  • 03/2025 → Present
    Minneapolis, MN
  • 04/2025 → Present
    City National Bank
    Minneapolis, MN
Other Businesses

NAME OF ENTITY: Avalon Rental Home ADDRESS: 790 Robinhood Rd, Bryn Mawr, 19010 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Real Estate START DATE: 27/08/2022 CAPACITY: Owner DUTIES: My wife and I own a vacation property that is also used as rental property. I have no time responsibilities for the property. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-02-28
S63 Uniform Securities Agent State Law Examination 1998-09-09
  • S65 Uniform Investment Adviser Law Examination
    2025-02-28
  • S63 Uniform Securities Agent State Law Examination
    1998-09-09

View on SEC IAPD

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