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Investment Adviser Firm Summary

RBC CAPITAL MARKETS, LLC (CRD# 31194 / SEC# 8-45411, 801-13059)
Alternate Names: DAIN RAUSCHER INC , DAIN RAUSCHER INCORPORATED , INTERRA CLEARING SERVICES, INC. , RBC ADVISOR SERVICES , RBC CAPITAL MARKETS CORPORATION , RBC CAPITAL MARKETS, LLC , RBC CORRESPONDENT SERVICES , RBC DAIN RAUSCHER , RBC DAIN RAUSCHER INC. , RBC WEALTH MANAGEMENT , REGIONAL OPERATIONS GROUP, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/02/1977

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 02/27/1996
Alaska 02/08/1996
Arizona 08/16/2001
Arkansas 01/08/1999
California 07/08/1997
Colorado 01/01/1999
Connecticut 02/24/1997
Delaware 08/21/2003
District of Columbia 05/28/1998
Florida 03/26/2001
Georgia 01/02/1998
Hawaii 04/21/1998
Idaho 08/20/1991
Illinois 08/03/1990
Indiana 02/06/2001
Iowa 01/01/1999
Kansas 12/04/1997
Kentucky 01/11/2001
Louisiana 10/01/2001
Maine 01/30/2002
Maryland 08/09/1996
Massachusetts 11/02/2001
Michigan 04/23/1998
Minnesota 03/05/1998
Mississippi 01/21/1998
Missouri 07/11/1990
Montana 12/01/1997
Nebraska 03/25/1999
Nevada 01/11/1993
New Hampshire 08/12/1996
New Jersey 04/21/1998
New Mexico 05/17/1996
New York 03/10/1993
North Carolina 01/11/2001
North Dakota 10/25/1996
Ohio 06/16/2000
Oklahoma 01/01/1998
Oregon 08/20/2001
Pennsylvania 08/16/2001
Puerto Rico 04/22/1998
Rhode Island 04/22/1998
South Carolina 07/15/1996
South Dakota 08/23/1990
Tennessee 04/13/1998
Texas 01/20/1998
Utah 04/11/1995
Vermont 04/23/1998
Virgin Islands 10/06/2008
Virginia 03/12/1993
Washington 06/01/1988
West Virginia 04/23/1998
Wisconsin 04/15/1998
Wyoming 07/05/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser