0000050916-16-000052.txt : 20161102 0000050916-16-000052.hdr.sgml : 20161102 20161102090520 ACCESSION NUMBER: 0000050916-16-000052 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20161101 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: 161966446 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 JENNIFER.M.CHAN@RBCCM.COM N N CLAYTON EARL MAULDIN 006288314 N 1 0000050916 RBC Capital Markets, LLC 01-06-2014 N 867-01264 LOCATED 01-06-2014 200 CRESCENT COURT SUITE 1500 DALLAS TX 75201 01-2014 RBC CAPITAL MARKETS, LLC DALLAS TX 75201 Y Y ANALYST 11-2011 01-2014 OAK HILL ADVISORS, L.P. FORT WORTH TX 76102 N Y QUANTITATIVE ANALYST 03-2010 11-2011 LOCKHEED MARTIN FORT WORTH TX 76108 N N FINANCIAL ANALYST 02-2009 03-2010 LOCKHEED MARTIN FORT WORTH TX 76108 N N SUBCONTRACT ADMINISTRATOR 01-2004 02-2009 N/A LUBBOCK TX 79409 N N 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 11-01-2016 JENNIFER CHAN ASSOCIATE, REGISTRATIONS