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Detailed Report
Naing Lin
CRD#: 6819899
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 345 CALIFORNIA STREET
SAN FRANCISCO, CA 94104-2642
Registration History
201920202021202220232024202520262 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - 2023 (2 years)2 FIRMS2023 - Present (2 years)
License(s)

State Registrations

B
Arizona 4/25/2023
B
North Carolina 4/25/2023
B
California 4/25/2023
B
Ohio 1/24/2025
IA
California 4/26/2023
B
Oregon 4/25/2023
B
Colorado 4/25/2023
B
South Dakota 9/19/2023
B
Delaware 4/25/2023
B
Texas 4/25/2023
B
Nevada 4/25/2023
B
Wyoming 4/25/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE National, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
345 CALIFORNIA STREET, SAN FRANCISCO, CA 94104-2642
San Leandro, CA
Registered with this firm since 4/26/2023
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
345 CALIFORNIA STREET, SAN FRANCISCO, CA 94104-2642
San Leandro, CA
Registered with this firm since 4/25/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/11/2020 - 05/18/2023 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD#:108559) San Francisco, CA
B
 09/11/2020 - 05/18/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) SAN FRANCISCO, CA
IA
 04/05/2019 - 09/15/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
B
 01/24/2019 - 09/15/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.