0000050916-15-000003.txt : 20150608
0000050916-15-000003.hdr.sgml : 20150608
20150608111817
ACCESSION NUMBER: 0000050916-15-000003
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150603
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: RBC Capital Markets, LLC
CENTRAL INDEX KEY: 0000050916
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 411228350
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: MA-I
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04312
FILM NUMBER: 15917769
BUSINESS ADDRESS:
STREET 1: RBC DAIN RAUSCHER PLAZA
STREET 2: 60 SOUTH SIXTH STREET
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
BUSINESS PHONE: 612 371-2711
MAIL ADDRESS:
STREET 1: 60 SOUTH 6TH STREET
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
FORMER COMPANY:
FORMER CONFORMED NAME: RBC Capital Markets CORP
DATE OF NAME CHANGE: 20080325
FORMER COMPANY:
FORMER CONFORMED NAME: RBC DAIN RAUSCHER INC
DATE OF NAME CHANGE: 20060110
FORMER COMPANY:
FORMER CONFORMED NAME: RBC DAIN RAUSCHER CORP
DATE OF NAME CHANGE: 20011228
MA-I
1
primary_doc.xml
MA-I
0000050916
XXXXXXXX
JENNIFER CHAN
212-618-3272
JENNIFER.M.CHAN@RBCCM.COM
ROSEANN.VISCARDI@RBCCM.COM
JENNIFER.M.CHAN@RBCCM.COM
N
N
LAUREN
MARIE
HARTMAN
005677080
N
1
0000050916
RBC Capital Markets, LLC
01-03-2011
N
867-01264
LOCATED
07-15-2014
1801 CALIFORNIA STREET
SUITE 3850
DENVER
CO
80202
01-2011
RBC CAPITAL MARKETS, LLC
DENVER
CO
80202
Y
Y
ASSOCIATE
06-2009
12-2010
GEORGE K. BAUM & COMPANY
DENVER
CO
80202
N
N
INTERN
09-2008
06-2009
FULL TIME EDUCATION
DENVER
CO
80210
N
N
GRADUATE STUDENT
05-2008
08-2008
UNEMPLOYED
BOULDER
CO
80303
N
N
UNEMPLOYED
09-2006
05-2008
NORTHERN TRUST COMPANY
CHICAGO
IL
60603
N
N
FUND ACCOUNTANT
07-2006
07-2006
BEACON HILL STAFFING
CHICAGO
IL
60602
N
N
TEMPORARY DATA ANALYST
08-2002
05-2006
FULL TIME EDUCATION
OXFORD
OH
45056
N
N
STUDENT
Y
12-2014
COLORADO MUNICIPAL BOND DEALERS ASSOCIATION
P O BOX 8804
DENVER
CO
80201
N
N
TRADE ORGANIZATION FOR LOCAL INVESTMENT BANKS
BOARD MEMBER
3
DISCUSS INDUSTRY TRENDS AND STATE-LEVEL, LEGISLATION THAT MAY AFFECT MUNICIPAL FINANCE,INVESTMENT BANKING IN THE STATE OF COLORADO
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
04-30-2015
LAUREN HARTMAN
ASSOCIATE