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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2022-02-17 |
| TX | RA | APPROVED | 2022-01-18 |
Branch Locations
2465 Marina Circle Suite 500, Green Bay, WI 54304 • United States
Green Bay, WI • 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 |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Green Bay | WI | 10/2012 | 01/2022 |
| Rbc Capital Markets, Llc | Green Bay | WI | 01/2022 | Present |
| City National Bank | Green Bay | WI | 04/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-20 |
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