0000050916-16-000039.txt : 20160616 0000050916-16-000039.hdr.sgml : 20160616 20160616181024 ACCESSION NUMBER: 0000050916-16-000039 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160615 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: 161718507 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 Helen Hough Feinberg 001329829 N 1 0000050916 RBC Capital Markets, LLC 02-27-2004 N 07-31-2014 0000050916 LOCATED 02-27-2004 100 SECOND AVENUE SOUTH SUITE 800 ST. PETERSBURG FL 33701 03-2008 RBC Capital Markets, LLC St. Petersburg FL 33701 Y Y Investment Banker 02-2004 03-2008 RBC Dain Rauscher Inc. St. Petersburg FL 33701 Y Y Investment Banker Y 04-2011 Coalition of Affordable Housing Providers 1390 Timberlane Road Tallahassee FL 32312 N N Coalition/Association of developers & financial professionals Board member 2 Attend meetings and vote on board items 02-2014 Canterbury School of Florida Foundation Inc. 990 62nd Avenue NE St. Petersburg FL 33702 N Y Long range planning and fund raising for a private school Board Member 2 attend meetings, discuss long range panning 04-2014 Aspen Wild Condominium Association East Hopkins Ave, Suite 203 Aspen CO 81611 N N Condominium Association - 9 unit condo President of Board of Directors 2 Address items relating to management of condo 04-2011 WRH INCOME PROPERTIES 415 FIRST AVENUE NORTH ST. PETERSBURG FL 33701 N Y OWNER PASSIVE INVESTOR 2 PASSIVE INVESTOR 06-2016 WAKE FOREST UNIVERSITY BOX 7226 WINSTON-SALEM NC 27109 N N BOARD TRUSTEE 12 GENERAL BOARD OVERSIGHT 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 06-15-2016 ROSEANN VISCARDI DIRECTOR, MANAGER OF REGISTRATIONS