0000050916-19-000001.txt : 20190129 0000050916-19-000001.hdr.sgml : 20190129 20190129113117 ACCESSION NUMBER: 0000050916-19-000001 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 SPENCE,AUSTIN,ROBERT, FILED AS OF DATE: 20190118 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: 411416330 STATE OF INCORPORATION: MN FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04312 FILM NUMBER: 19547664 BUSINESS ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10281 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 Traci Braiedy 612-371-7958 traci.braiedy@rbc.com N N Austin Robert Spence 007032814 N 1 0000050916 RBC Capital Markets, LLC 10-15-2018 N 867-01264 LOCATED 10-18-2018 200 VESEY STREET200 CRESCENT COURT Suite 1500 DALLAS TX 75201 10-2018 RBC CAPITAL MARKETS LLC DALLAS TX 75201 Y Y ANALYST 09-2015 10-2018 HIGHLAND CAPTAL MANAGEMENT DALLAS TX 75201 N Y SURVEILLENCE ANALYST 02-2015 09-2015 MARKIT DALLAS TX 75201 N N PRODUCT ANALYST 12-2014 02-2015 UNEMPLOYED DALLAS TX 75201 N N UNEMPLOYED 08-2010 12-2014 TEXAS TECH LUBBOCK TX 79401 N N STUDENT 06-2010 08-2010 UNEMPLOYED DALLAS TX 75201 N N UNEMPLOYED 08-2006 06-2010 NEWMAN SMITH HIGH SCHOOL CARROLLTON TX 75201 N N STUDENT 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 01-18-2019 TRACI BRAIEDY SECURITIES MANAGER