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