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