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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 |
|---|---|---|---|
| VI | RA | APPROVED | 2023-11-22 |
| MD | RA | APPROVED | 2023-11-20 |
| TX | RA | APPROVED | 2023-11-20 |
Branch Locations
1201 Wills Street Suite 230, Baltimore, MD 21231-3805 • United States
10500 Little Patuxent Parkway Suite 350, Columbia, MD 21044-3520 • United States
2800 Quarry Lake Drive Suite 260, Baltimore, MD 21202-3751 • United States
Bel Air, MD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pennington | NJ | 01/2004 | 03/2020 |
| Morgan Stanley | Bethesda | MD | 06/2020 | 06/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Baltimore | MD | 07/2021 | 11/2023 |
| Bank Of America, N.A. | Baltimore | MD | 10/2021 | 11/2023 |
| Rbc Capital Markets, Llc | Baltimore | MD | 11/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-12 |
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