0000050916-22-000020.txt : 20221021
0000050916-22-000020.hdr.sgml : 20221021
20221021093525
ACCESSION NUMBER: 0000050916-22-000020
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
FOX,CASEY,NMN,
FILED AS OF DATE: 20221021
DATE AS OF CHANGE: 20221021
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: 411416330
STATE OF INCORPORATION: MN
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: MA-I/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04312
FILM NUMBER: 221322417
BUSINESS ADDRESS:
STREET 1: 200 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10281
BUSINESS PHONE: 612-313-6330
MAIL ADDRESS:
STREET 1: 250 NICOLLET MALL
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55401
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
Chad Evans
3193500507
chad.evans@rbc.com
N
0000050916-21-000021
N
CASEY
NMN
FOX
7328144
N
1
0000050916
RBC Capital Markets, LLC
11-01-2021
N
867-01264
LOCATED
11-01-2021
225 FRANKLIN ST
SUITE 2150
BOSTON
MA
02110
11-2021
RBC Capital Markets, LLC
BOSTON
MN
02110
Y
Y
Registered Representative
01-2021
11-2021
HILLTOP SECURITIES INC.
DALLAS
TX
75201
Y
Y
VP, Investment Banker
07-2012
12-2020
THE PFM GROUP INC.
BOSTON
MA
02110
Y
Y
SMC
08-2008
06-2012
CORNELL UNIVERSITY
ITHACA
NY
14850
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
10-21-2022
Chad Evans
Licensing Specialist