RBC Capital Markets, LLC (the “Company”), member NYSE/FINRA/SIPC, is a registered broker-dealer that offers full-service brokerage and investment banking services to its individual, institutional, corporate, and government clients. In addition, the Company conducts principal trading, primarily in municipal bonds and other fixed income securities, and asset management services. The Company also carries accounts, provides trade execution and clearing services, and extends margin credit for clients introduced by correspondent firms through its RBC Correspondent Services division and by investment advisors through its RBC Advisor Services division.
On January 10, 2001, Royal Bank of Canada (“RBC”) acquired the Company in a cash transaction accounted for as a purchase. On November 1, 2001, the Company changed its name from Dain Rauscher Incorporated to RBC Dain Rauscher Inc. On February 29, 2008, the Company changed its name to RBC Capital Markets Corporation. On November 1, 2010, the Company converted from a corporation to a limited liability company and as a result changed its name to RBC Capital Markets, LLC.
A complete copy of the Company’s Statement of Financial Condition is contained in the following documents:
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