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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 | 2019-08-30 |
| WI | RA | APPROVED | 2019-08-30 |
Branch Locations
8613 Us Hwy. 51 N, Minocqua, WI 54548 • United States
Hazelhurst, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Minoqua | WI | 07/2010 | 08/2019 |
| Bank Of America,Na | Minocqua | WI | 08/2010 | 08/2019 |
| Rbc Capital Markets, Llc. | Minocqua | WI | 08/2019 | Present |
| City National Bank | Minocqua | WI | 09/2019 | Present |
(1) NAME OF ENTITY: Trinity Evangelical Lutheran Church ADDRESS: 8781 Brunswick Rd, Minocqua, WI 54548 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Religious Institution START DATE: Feb 19, 2021 CAPACITY: Committee/Council Member DUTIES: Stewardship coordinator oversees the time, talents and treasures of our congregation. As noted above, I would be one of 6 members on the budget committee. I would also be one of 12 members on the church council. HOURS DEVOTED PER MONTH: 0 - 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 (2) NAME OF ENTITY: Bennett Rental Property ADDRESS: 8473 State Highway 70 W, Saint Germain, WI 54558 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jan 02, 2026 CAPACITY: Owner DUTIES: Owner of rental property HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-24 |
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