0000050916-14-000011.txt : 20141217
0000050916-14-000011.hdr.sgml : 20141217
20141217193304
ACCESSION NUMBER: 0000050916-14-000011
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140731
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: 141293911
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
ROSEANN VISCARDI
212-858-7118
ROSEANN.VISCARDI@RBCCM.COM
ROSEANN.VISCARDI@RBCCM.COM
N
PAUL
MICHAEL
CLANCY
003064662
N
1
0000050916
RBC Capital Markets, LLC
07-01-2008
N
07-31-2014
0000050916
LOCATED
07-01-2008
130 N 18TH STREET, ONE LOGAN SQUARE
17TH FLOOR
PHILADELPHIA
PA
19103
07-2008
RBC CAPITAL MARKETS, LLC
PHILADELPHIA
PA
19103
Y
Y
DIRECTOR
11-2007
06-2008
WACHOVIA CAPITAL MARKETS, LLC
PHILADELPHIA
PA
19103
Y
Y
MANAGING DIRECTOR
09-2005
11-2007
A. G. EDWARDS & SONS, INC.
PHILADELPHIA
PA
19103
Y
Y
MANAGING DIRECTOR & DIRECTOR
09-2004
09-2005
LEGG MASON WOOD WALKER, INC.
PHILADELPHIA
PA
19102
Y
Y
MANAGING DIRECTOR
05-1998
08-2004
COMMERCE CAPITAL MARKETS, INC
PHILADELPHIA
PA
19103
Y
Y
MANAGING DIRECTOR
Y
09-1999
IMMACULATA UNIVERSITY
1145 KING ROAD
IMMACULATA
PA
19345
N
N
HIGHER EDUCATION
INVESTMENT SUB-COMMITTEE MEMBER
2
REVIEW INVESTMENT POLICIES, ACCOUNTS & RESULTS
09-1998
NEUMANN UNIVERSITY
ONE NEUMANN DRIVE
ASTON
PA
19014
N
N
HIGHER EDUCATION
FINANCE COMMITTEE & AUDIT COMMITTEE MEMBER
3
REVIEW FINANCIAL RESULTS, POLICIES, AUDITS & INVESTMENTS
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
07-31-2014
ROSEANN VISCARDI
DIRECTOR, MANAGER OF REGISTRATIONS