0000050916-17-000025.txt : 20171108
0000050916-17-000025.hdr.sgml : 20171108
20171108143814
ACCESSION NUMBER: 0000050916-17-000025
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20171108
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: 171186203
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
Lora Herman
612-371-7868
lora.herman@rbc.com
traci.braiedy@rbc.com
Y
N
JENNY
CHRISTINE
LEWIS
004587471
N
1
0000050916
RBC Capital Markets, LLC
08-27-2002
N
08-01-2014
0000050916
LOCATED
08-27-2002
RBC DAIN RAUSCHER PLAZA
60 SOUTH SIXTH STREET
MINNEAPOLIS
MN
55402
JENNY
CHRISTINE
UPDIKE
08-2002
RBC CAPITAL MARKETS, LLC
MINNEAPOLIS
MN
55402
Y
Y
ASSOCIATE
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
N
11-08-2017
Lora Herman
AVP, Registration Manager