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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 |
|---|---|---|---|
| NH | RA | APPROVED | 2024-01-05 |
| CA | RA | APPROVED | 2019-09-27 |
| TX | RA | APPROVED | 2018-01-23 |
Branch Locations
53 State Street Suite 3600, Boston, MA 02109-1875 • United States
Wellesley, MA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | Boston | MA | 10/2010 | 01/2018 |
| J.P. Morgan Securities Llc | Boston | MA | 10/2008 | 01/2018 |
| Rbc Capital Markets, Llc. | Boston | MA | 01/2018 | Present |
1) Entity Name: Rental Property Investment related: Yes Address: Wellesley MA Nature of the other business: Rental property Position/Title/Relationship: Other Start Date: 01-Jul-2017 Approximate # of hours a month: 1 hour per month, 0 work during jpms business hours Approximate # of hours during securities trading hours: 0 Briefly describe your duties: To continue to keep up the property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 1985-11-20 |
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