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Frank B Emmerling

Rbc Capital Markets, LLC

Lower Burrell, PA

Pittsburgh, PA

Sarasota, FL

CRD 1475810

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2018-02-27
FL RA APPROVED 2013-11-13
PA RA APPROVED 2013-11-08
  • TX RA
    APPROVED
    Since 2018-02-27
  • FL RA
    APPROVED
    Since 2013-11-13
  • PA RA
    APPROVED
    Since 2013-11-08

Branch Locations

3275 Leechburg Road Suite 3, Lower Burrell, PA 15068-2858 • United States

One Ppg Place Suite 2900, Pittsburgh, PA 15222-5455 • United States

Sarasota, FL • 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
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Pittsburgh PA 11/2013 Present
Previous Registrations
  • 2004-12-07 → 2013-11-18
    Ubs Financial Services Inc.
    New Kensington, PA
    Pittsburgh, PA
    Pittsburgh, PA
    Weehawken, NJ
    Pittsburgh, PA
    New Kensington, PA
    New Kensington, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-29
S63 Uniform Securities Agent State Law Examination 1986-03-28
  • S65 Uniform Investment Adviser Law Examination
    1994-11-29
  • S63 Uniform Securities Agent State Law Examination
    1986-03-28
Other Names
  • Frank Becker Emmerling

View on SEC IAPD

Nearby Firms

CETERA INVESTMENT ADVISERS LLC
PNC WEALTH MANAGEMENT LLC
EDWARD JONES

Nearby Investors

LESLIE ANNE CRAVEN
FRANK BRYAN EMMERLING
ROBERT ERIC MAGEE

Nearby Offices

CETERA INVESTMENT ADVISERS LLC · LOWER BURRELL, PA
PNC WEALTH MANAGEMENT LLC · NEW KENSINGTON, PA
EDWARD JONES · NEW KENSINGTON, PA

More in Lower Burrell, PA

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