0000050916-23-000032.txt : 20231130
0000050916-23-000032.hdr.sgml : 20231130
20231130092942
ACCESSION NUMBER: 0000050916-23-000032
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
MA-I INDIVIDUAL: ALLEN,CHRISTOPHER,WAYNE,
FILED AS OF DATE: 20231130
DATE AS OF CHANGE: 20231130
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: 231454282
BUSINESS ADDRESS:
STREET 1: 200 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10281
BUSINESS PHONE: 612-313-6330
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
Chad Evans
3193500507
chad.evans@rbc.com
SecuritiesLicensingSpecialists@rbc.com
N
0000050916-19-000012
N
Christopher
Wayne
Allen
5457114
N
1
0000050916
RBC Capital Markets, LLC
06-26-2019
N
867-01264
LOCATED
06-26-2019
609 Main Street
37th Floor
Houston
TX
77002
SUPERVISED
06-26-2019
200 Crescent Court
Suite 1500
Dallas
TX
75201
Chris
W
Allen
06-2019
RBC Capital Markets, LLC
Houston
MN
77002
Y
Y
Managing Director
01-2016
06-2019
HILLTOP SECURITIES INC.
HOUSTON
TX
77002
Y
Y
MANAGING DIRECTOR
07-2009
01-2016
FIRST SOUTHWEST COMPANY, LLC
AUSTIN
TX
78701
Y
Y
PUBLIC FINANCE
09-1996
07-2009
PUBLIC FINANCIAL MANAGEMENT, INC.
AUSTIN
TX
78701
Y
Y
SENIOR MANAGING CONSULTANT
Y
10-2016
Municipal Advisory Council of Texas
600 W. 8th Street
Ste 200
Austin
TX
78701
Y
Y
Non-Profit Trade Association
Board Chairman
10
Board Member
N
N
N
N
Y
Y
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
11-30-2023
Chad Evans
Licensing Specialist
Chris W Allen
5457114
1472957
6B(1)(a)
6B(1)(b)