0000050916-16-000019.txt : 20160125 0000050916-16-000019.hdr.sgml : 20160125 20160125112227 ACCESSION NUMBER: 0000050916-16-000019 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160122 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: 161357824 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 N N CHRISTOPHER RAYMOND GOOD 005642737 N 1 0000050916 RBC Capital Markets, LLC 09-07-2010 N 867-01264 LOCATED 09-07-2010 200 VESEY STREET 12TH FLOOR NEW YORK NY 10281 09-2010 RBC CAPITAL MARKETS, LLC NEW YORK NY 10281 Y Y VICE PRESIDENT 02-2009 09-2010 PNC CAPITAL MARKETS PHILADELPHIA PA 19103 N Y ANALYST 05-2007 09-2010 PNC FINANCIAL SERVICES GROUP PHILADELPHIA PA 19103 N N ANALYST 08-2006 05-2007 UNIVERSITY OXFORD OH 45056 N N FULL TIME STUDENT 05-2006 08-2006 PNC FINANCIAL SERVICES GROUP PHILADELPHIA PA 19103 N N INTERN 08-2005 05-2006 MIAMI UNIVERSITY OXFORD OH 45056 N N STUDENT GOVERNMENT/ FULL TIME STUDENT 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 N 01-20-2016 CHRISTOPHER R GOOD VICE PRESIDENT