0000050916-16-000043.txt : 20160728
0000050916-16-000043.hdr.sgml : 20160728
20160728090845
ACCESSION NUMBER: 0000050916-16-000043
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160727
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: 161788562
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 M. CHAN
212-618-3272
JENNIFER.M.CHAN@RBCCM.COM
JENNIFER.M.CHAN@RBCCM.COM
N
N
ANDREW
CRAIG
MENDELSON
004812682
N
1
0000050916
RBC Capital Markets, LLC
12-09-2005
N
867-01264
LOCATED
05-20-2016
200 VESEY STREET
9TH FLOOR
NEW YORK
NY
10281
03-2008
RBC CAPITAL MARKETS, LLC
NEW YORK
NY
10281
Y
Y
DIRECTOR
12-2005
03-2008
RBC DAIN RAUSCHER, INC
NEW YORK
NY
10281
N
Y
FIXED INCOME BANKING ASSOCIATE
08-2003
12-2005
RAYMOND JAMES & ASSOCIATE, INC.
NEW YORK
NY
10177
N
Y
PUBLIC FINANCE ANALYST
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
07-25-2016
ROSEANN VISCARDI
DIRECTOR, MANAGER OF REGISTRATIONS