0000050916-16-000034.txt : 20160616
0000050916-16-000034.hdr.sgml : 20160616
20160616095550
ACCESSION NUMBER: 0000050916-16-000034
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160615
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04312
FILM NUMBER: 161716800
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/A
1
primary_doc.xml
MA-I/A
0000050916
XXXXXXXX
JENNIFER M. CHAN
212-618-3272
JENNIFER.M.CHAN@RBCCM.COM
JENNIFER.M.CHAN@RBCCM.COM
N
N
Andrew
Richard
Laskey
004826977
N
1
0000050916
RBC Capital Markets, LLC
06-15-2007
N
07-31-2014
0000050916
LOCATED
06-15-2007
RBC DAIN RAUSCHER PLAZA
60 SOUTH SIXTH STREET
MINNEAPOLIS
MN
55402
06-2007
RBC Capital Markets, LLC
Cincinnati
OH
45202
Y
Y
Analyst & Associate
07-2006
06-2007
Seasongood & Mayer
Cincinnati
OH
45202
Y
Y
Analyst
03-2006
06-2006
University of Cincinnati
Cincinnati
OH
45220
N
N
Student
09-2004
03-2006
Fidelity Investment
Covington
KY
41015
N
Y
Financial Analyst
06-2004
09-2004
Credit Suisse
New York
NY
10010
N
Y
Project Manager
Y
03-2011
Clovernook Center For the Blind
7000 Hamilton Ave
Cincinnati
OH
45231
N
N
NON PROFIT CHARITY/WORK CENTER
Board Member
5
Board Member
04-2013
Clovernook Center for the Blind
7000 Hamilton Ave
Cincinnati
OH
45231
N
N
NON PROFIT CHARITY/WORK CENTER
BOARD MEMBER, SERVE ON INVESTMENT SUB COMMITTEE,
5
BOARD MEMBER, SERVE ON INVESTMENT SUB COMMITTEE,
10-2011
YOUR MOBILE LIFE, LLC
3065 PORTSMOUTH AVE
CINCINNATI
OH
45208
N
Y
COLLECT PROFITS
OWNER
40
NO DUTIES
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
06-15-2016
ROSEANN VISCARDI
DIRECTOR, MANAGER OF REGISTRATIONS