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