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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2024-08-09 |
| TX | RA | APPROVED | 2024-08-08 |
Branch Locations
Six Tower Bridge, 181 Washington Street Suite 500, Conshohocken, PA 19428-2000 • 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 |
|---|---|---|---|---|
| Morgan Stanley | West Conshohocken | PA | 03/2015 | 08/2024 |
| Morgan Stanley Private Bank, National Association | New York | NY | 05/2015 | 08/2024 |
| Rbc Capital Markets, Llc | Conshohocken | PA | 08/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2015 | 08/2024 |
*379036 - Phor Med Inc; Investment related No; Pharmaceutical; Advisory Board (proprietor, partner, officer, director, employee, trustee, agent); Oct 2019; During business hours: Nil; After business hours: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-28 |
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