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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
NY RA APPROVED 2025-09-11
  • NY RA
    APPROVED
    Since 2025-09-11

Branch Locations

Northport, NY • United States

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States

1 Jericho Plaza Suite 106, Jericho, NY 11753-1635 • 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
Rbc Capital Markets, Llc New York NY 06/2025 Present
Binghamton University Binghamton NY 08/2021 12/2024
N/A Northport NY 12/2024 05/2025
N/A Syosset NY 09/2014 06/2021
  • 06/2025 → Present
    New York, NY
  • 08/2021 → 12/2024
    Binghamton University
    Binghamton, NY
  • 12/2024 → 05/2025
    N/A
    Northport, NY
  • 09/2014 → 06/2021
    N/A
    Syosset, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-27
  • S66 Uniform Combined State Law Examination
    2024-12-27

View on SEC IAPD

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