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)