0000950123-13-009095.txt : 20131112 0000950123-13-009095.hdr.sgml : 20131111 20131112172010 ACCESSION NUMBER: 0000950123-13-009095 CONFORMED SUBMISSION TYPE: 13F-NT PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131112 DATE AS OF CHANGE: 20131112 EFFECTIVENESS DATE: 20131112 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: 411228350 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 13F-NT SEC ACT: 1934 Act SEC FILE NUMBER: 028-04069 FILM NUMBER: 131211430 BUSINESS ADDRESS: STREET 1: RBC DAIN RAUSCHER PLAZA STREET 2: 60 SOUTH SIXTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 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 13F-NT 1 primary_doc.xml 13F-NT LIVE false true false 0000050916 XXXXXXXX 09-30-2013 09-30-2013 RBC Capital Markets, LLC

60 South 6th Street Minneapolis MN 55402

13F NOTICE 028-04069 28-11396 Royal Bank of Canada N John Penn 212-858-7116 /s/ John Penn New York NY 11-12-2013