0000050916-16-000029.txt : 20160615 0000050916-16-000029.hdr.sgml : 20160615 20160615113519 ACCESSION NUMBER: 0000050916-16-000029 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160614 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04312 FILM NUMBER: 161714709 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/A 1 primary_doc.xml MA-I/A 0000050916 XXXXXXXX JENNIFER CHAN 212-618-3272 JENNIFER.M.CHAN@RBCCM.COM JENNIFER.M.CHAN@RBCCM.COM N N GEORGE FREDERICK HINCHCLIFF II 004788013 N 1 0000050916 RBC Capital Markets, LLC 06-09-2008 N 867-01264 LOCATED 02-07-2011 3 WORLD FINANCIAL CENTER 200 VESEY STREET NEW YORK NY 10281 06-2008 RBC CAPITAL MARKETS, LLC NEW YORK NY 10281 Y Y COMPLIANCE OFFICER 06-2007 05-2008 UBS NEW YORK NY 10019 N Y OPERATIONS & PRIME BROKERAGE ACCOUNT MANAGER 04-2004 06-2007 UBS STAMFORD CT 06901 N Y DTC SETTLEMENTS MGR Y 05-2016 RENTAL PROPERTY 102 SHELLY COURT CORNWALL NY 12518 N N RENTING RESIDENCE HOMEOWNER/ LAND OWNER 2 RENTING OUT RESIDENCE 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 06-14-2016 ROSEANN VISCARDI DIRECTOR, MANAGER OF REGISTRATIONS