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