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