RBC Capital Markets, LLC

RBC Capital Markets, LLC is a broker-dealer with over 4,750 financial professionals registered nationwide. The firm's primary clients are Individuals, Business Development Companies and Other Investment Advisors.

Firm Information

Social Media

http://www.linkedin.com/company/rbc

Advisors (4,750)

Name	Start Date
Aaron Anthony Gallardo	Apr 2012
Aaron Harry Weierbach	May 2002
Aaron Isaac Brachman	Mar 2009
Aaron Joel Hara	Nov 2002
Aaron Joseph Crowley	Oct 2011

View All

*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

$44.6B

Total Assets

143K

Accounts

$312.6K

Estimated Average Account Balance

*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

Rbc USA Holdco Corporation (75% or more)
Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

Name	Title	Tenure Date
John Godfrey Taft	President & Board Member	06/01/2011
Mary Ellen Zimmer	Evp, Board Member	02/01/2008
Mark Allan Standish	Chairman of The Board	02/01/2009
Maxwell, V. Troy	Non Employee Board Member	02/01/2008
Mcgregor, Alex Douglas Mr.	Non Employee Board Member	02/01/2008

Affiliated Investment Advisors and Broker Dealers

No firm affiliates listed.

Principal Office & Place of Business

Principal Office

Address:	3 World Financial Center New York , NY 10281
Phone Number:	212-858-7000

Other Offices Address	City	State	Zip
1211 Avenue of the Americas	New York	NY	10036
4 Gatehall Drive	Parsippany	NJ	07054-4592
25 Hanover Rd	Florham Park	NJ	07932-1424
1918 8th Avenue	Seattle	WA	98101
60 S. 6th Street	Minneapolis	MN	55402-4422

Firm Compensation Arrangements

Types of Compensation Arrangements

Percentage of Assets
Fixed Fees
Commissions

Key Information

Type:	Dual Registrant
HQ:	New York, NY
Employees:	About 6,904
Total Assets:	$44.6B
Website:	RBC Capital Markets, LLC

Client Types

	Individuals
	Business Development Companies
	Other Investment Advisors
	State or Municipal Government Entities
	Other Pooled Investment Vehicles
	Investment Companies
	Charitable Organizations
	Corporations or Other Businesses
	Pension and Profit Sharing Plans
	Banking or Thrift Institutions
	High Net Worth Individuals
	Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing as of 01/27/2012.

Professional Designations

No professional designations listed.

Membership Associations

No membership associations listed.

State Registrations

RBC Capital Markets, LLC is registered in the following states: MA, PA, CA, NY, MO, NJ, OK, NH, KS, NC, LA, WA, FL, CO, HI, OR, IL, GA, AL, WI, MI, TX, IA, VA, TN, MD, AZ, OH, DC, KY, WV, NM, MN, SC, IN, DE, CT, RI, UT, AR, ID, ND, NE, MT, ME, SD, AK, NV, MS, VT, PR and VI

Firm Services

No services listed.

Name	Title	Tenure Date
John Godfrey Taft	President & Board Member	06/01/2011
Mary Ellen Zimmer	Evp, Board Member	02/01/2008
Mark Allan Standish	Chairman of The Board	02/01/2009
V. Troy Maxwell	Non Employee Board Member	02/01/2008
Alex Douglas Mr. Mcgregor	Non Employee Board Member	02/01/2008
Steven J Decicco	Md, Chief Financial Officer	02/01/2008
Richard Troy Chase	Md, General Counsel	01/01/2010
Thomas Bryan Donovan	Md, Chief Operations Officer	02/01/2008
Richard Joseph Tavoso	Md, Board Member	02/01/2008
Joseph Daniel Fleming	Sr. VP, Chief Compliance Officer, Wealth Management	10/01/2010
Howard R Plotkin	Md, Chief Compliance Officer	01/01/2010
Thomas Steven Sagissor	Sr. VP, Board Member	01/01/2011
Cathleen Bridget Tobin	Sr. Md, Board Member	01/01/2011
Deborah Anne Freer	Chief Executive Officer, Chief Operating Officer & Board Member	06/01/2011
Clinton Dale Lively	Non Employee Board Member	06/01/2011