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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2017-11-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Minneapolis | MN | 12/2009 | 10/2017 |
| Rbc Capital Markets, Llc | Minneapolis | MN | 10/2017 | Present |
NAME OF ACTIVITY: ISAGENIX MLM RETAIL SALES; DATE ACTIVITY STARTED: JANUARY 2015; RETAIL SALES; OWNER/PROPRIETOR; INDEPENDENT ASSOCIATE FOR RETAIL SALES OF HEALTH & FITNESS RELATED SUPPLEMENTS; TOTAL HOURS PER MONTH 0-20; HOURS DURING TRADING HOURS PER MONTH 0-20; INCOME PER YEAR UP TO $1,000; THIS ACTIVITY DOES NOT INCLUDE PROVIDING INVESTMENT ADVICE, CONDUCTING SECURITIES TRADING OR MANAGING THE ASSETS OF OTHERS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-05-23 |
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