RBC CAPITAL MARKETS, LLC
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RBC CAPITAL MARKETS, LLC
(CRD# 31194)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Jun 1977.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$118.7 Billion,
with discretion over
58%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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RBC CAPITAL MARKETS, LLC
also reported in
Mar 2019
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7576
employees,
with
1847
performing advisory functions.
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A total of 268 office locations.
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Registration with one or more foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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RBC CAPITAL MARKETS, LLC has one or more disclosure events currently on file with the SEC.
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RBC CAPITAL MARKETS, LLC has Notice Filings with the following State Securities Authorities: <
AK-Feb 1996, AL-Feb 1996, AR-Jan 1999, AZ-Aug 2001, CA-Jul 19
, CO-Jan 1999, CT-Feb 1997, DC-May 1998, DE-Aug 2003, FL-Mar 2
, GA-Jan 1998, HI-Apr 1998, IA-Jan 1999, ID-Aug 1991, IL-Aug 1
, IN-Feb 2001, KS-Dec 1997, KY-Jan 2001, LA-Oct 2001, MA-Nov 2
, MD-Aug 1996, ME-Jan 2002, MI-Apr 1998, MN-Mar 1998, MO-Jul 1
, MS-Jan 1998, MT-Dec 1997, NC-Jan 2001, ND-Oct 1996, NE-Mar 1
, NH-Aug 1996, NJ-Apr 1998, NM-May 1996, NV-Jan 1993, NY-Mar 1
, OH-Jun 2000, OK-Jan 1998, OR-Aug 2001, PA-Aug 2001, PR-Apr 1
, RI-Apr 1998, SC-Jul 1996, SD-Aug 1990, TN-Apr 1998, TX-Jan 1
, UT-Apr 1995, VA-Mar 1993, VI-Oct 2008, VT-Apr 1998, WA-Jun 1
, WI-Apr 1998, WV-Apr 1998, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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