Heather Marie Knox

Rbc Capital Markets, LLC

Pisgah Forest, NC

CRD 7922632

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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

Authority	Category	Status	Date
VI	RA	APPROVED	2025-03-03
TX	RA	APPROVED	2024-10-23
NC	RA	APPROVED	2024-10-22

VI RA
APPROVED

Since 2025-03-03
TX RA
APPROVED

Since 2024-10-23
NC RA
APPROVED

Since 2024-10-22

Branch Locations

Two Town Square Boulevard Suite 325, Asheville, NC 28803-5035 • United States

Pisgah Forest, NC • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	Asheville	NC	05/2024	Present
First Bank	Brevard	NC	01/2023	05/2024
Movement Bank	Asheville	NC	11/2022	12/2022
Self Help Credit Union	Rosman	NC	04/2022	10/2022
Pnc Bank	Brevard	NC	01/2002	02/2022
Unemployed	Brevard	NC	02/2022	04/2022

05/2024 → Present

Rbc Capital Markets, Llc

Asheville, NC
01/2023 → 05/2024

First Bank

Brevard, NC
11/2022 → 12/2022

Movement Bank

Asheville, NC
04/2022 → 10/2022

Self Help Credit Union

Rosman, NC
01/2002 → 02/2022

Pnc Bank

Brevard, NC
02/2022 → 04/2022

Unemployed

Brevard, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-10-21

S66 Uniform Combined State Law Examination

2024-10-21

View on SEC IAPD

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