0000050916-21-000010.txt : 20210309
0000050916-21-000010.hdr.sgml : 20210309
20210309164120
ACCESSION NUMBER: 0000050916-21-000010
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
MARTY,COREY,ROBERT,
FILED AS OF DATE: 20210309
DATE AS OF CHANGE: 20210309
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04312
FILM NUMBER: 21726479
BUSINESS ADDRESS:
STREET 1: 200 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10281
BUSINESS PHONE: 612-313-1314
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
ANTHONY CHAPPLE
612-371-7639
ANTHONY.CHAPPLE@RBC.COM
ANTHONY.CHAPPLE@RBC.COM
SecuritiesLicensingSpecialists@rbc.com
N
N
COREY
ROBERT
MARTY
6144166
N
1
0000050916
RBC Capital Markets, LLC
12-03-2012
N
07-31-2014
0000050916
LOCATED
12-03-2012
777 SOUTH FIGUEROA STREET SUITE 850
LOS ANGELES
CA
90017
12-2012
RBC CAPITAL MARKETS, LLC
LOS ANGELES
CA
90017
Y
Y
MUNICIPAL FINANCE ANALYST
09-2011
12-2012
JOHNSON INVESTMENT COUNSEL, INC.
CINCINNATI
OH
45247
Y
Y
PORTFOLIO MANAGER ASSISTANT
06-2011
06-2011
ROSSELOT FINANCIAL GROUP
CINCINNATI
OH
45230
N
Y
ASSISTANT FINANCIAL ADVISOR
09-2007
06-2011
UNIVERSITY OF CINCINNATI
CINCINNATI
OH
45220
N
N
FULL-TIME STUDENT
06-2004
09-2007
PENN STATION EAST COAST SUBS
CINCINNATI
OH
45238
N
N
CREW LEADER
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
03-09-2021
ANTHONY CHAPPLE
SECURITIES LICENSING SPECIALIST