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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2019-09-24 |
| TX | RA | APPROVED | 2019-09-24 |
Branch Locations
102 South Tejon Suite 460, Colorado Springs, CO 80903-2278 • United States
Breckenridge, CO • United States
Colorado Springs, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Colorado Springs | CO | 07/2013 | 09/2019 |
| Rbc Capital Markets, Llc. | Colorado Springs | CO | 09/2019 | Present |
| City National Bank | Colorado Springs | CO | 12/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-24 |
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