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