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RBC Capital Markets, LLC, et al. – ‘MA-I/A’ on 3/18/24

On:  Monday, 3/18/24, at 9:50am ET   ·   Accession #:  50916-24-8   ·   File #:  868-04312

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  As Of               Filer                 Filing    For·On·As Docs:Size

 3/18/24  RBC Capital Markets, LLC          MA-I/A                 1:12K
          Loren Morales

Amendment to Info re: a Natural Person Who Engages in Municipal Advisory Activity   —   Form MA-I

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: MA-I/A      Amendment to Info re: a Natural Person Who Engages  HTML     12K 
                in Municipal Advisory Activity -- primary_doc.xml


        

This ‘MA-I/A’ Document is an XML Data File that may be rendered in various formats:

  Form MA-I    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Amendment to Info re: a Natural Person Who Engages in Municipal Advisory Activity
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<edgarSubmission xmlns="http://www.sec.gov/edgar/maifiler" xmlns:com="http://www.sec.gov/edgar/common_ma" xmlns:com1="http://www.sec.gov/edgar/common">
<headerData>
<submissionType> MA-I/A </submissionType>
<filerInfo>
<com:filer>
<com1:filerId> 0000050916 </com1:filerId>
<com1:filerCcc> XXXXXXXX </com1:filerCcc>
</com:filer>
<com:contact>
<com1:name> Chad Evans </com1:name>
<com1:phoneNumber> 3193500507 </com1:phoneNumber>
</com:contact>
<com:contactEmail> chad.evans@rbc.com </com:contactEmail>
<com:notifications>
<com1:internetNotificationAddress> SecuritiesLicensingSpecialists@rbc.com </com1:internetNotificationAddress>
</com:notifications>
</filerInfo>
</headerData>
<formData>
<isAmendment> N </isAmendment>
<previousAccessionNumber> 0000050916-14-000058 </previousAccessionNumber>
<isIndividual> Y </isIndividual>
<applicantName>
<com:firstName> Loren </com:firstName>
<com:middleName> NMN </com:middleName>
<com:lastName> Morales </com:lastName>
</applicantName>
<applicantCrdNum> 6187561 </applicantCrdNum>
<hasMoreThanOneAdvisoryFirms> N </hasMoreThanOneAdvisoryFirms>
<noOfAdvisoryFirms> 1 </noOfAdvisoryFirms>
<municipalAdvisorOffices>
<municipalAdvisorOffice>
<municipalFirm>
<municipalFiler>
<filerId> 0000050916 </filerId>
</municipalFiler>
<municipalFirmName> RBC Capital Markets, LLC </municipalFirmName>
<recentEmploymentCommencedDate> 04-22-2013 </recentEmploymentCommencedDate>
<isIndependentRelatioship> Y </isIndependentRelatioship>
</municipalFirm>
<maRegistration>
<notSecRegistered>
<hasFiled>
<filingDate> 07-31-2014 </filingDate>
<cik> 0000050916 </cik>
</hasFiled>
</notSecRegistered>
</maRegistration>
<advisorOffices>
<advisorOffice>
<locationInfo> LOCATED </locationInfo>
<startDate> 06-19-2014 </startDate>
<addressInfo>
<com:address>
<com1:street1> 2398 EAST CAMELBACK ROAD </com1:street1>
<com1:street2> SUITE 700 </com1:street2>
<com1:city> PHOENIX </com1:city>
<com1:stateOrCountry> AZ </com1:stateOrCountry>
<com1:zipCode> 85016 </com1:zipCode>
</com:address>
</addressInfo>
</advisorOffice>
</advisorOffices>
</municipalAdvisorOffice>
</municipalAdvisorOffices>
<residentialHistory></residentialHistory>
<employmentHistory>
<currentEmployer>
<startDate> 04-2013 </startDate>
<name> RBC Capital Markets, LLC </name>
<addressInfo>
<city> Phoenix </city>
<stateOrCountry>
<com1:stateOrCountry> AZ </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 85016 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> Y </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> Y </isRelatedToInvestment>
<positionDescription> Associate </positionDescription>
</currentEmployer>
<priorEmployers>
<priorEmployer>
<startDate> 04-2012 </startDate>
<endDate> 04-2013 </endDate>
<name> SDM Advisors </name>
<addressInfo>
<city> Mount Vernon </city>
<stateOrCountry>
<com1:stateOrCountry> WA </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 98273 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> Y </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> N </isRelatedToInvestment>
<positionDescription> Analyst </positionDescription>
</priorEmployer>
<priorEmployer>
<startDate> 10-2011 </startDate>
<endDate> 03-2012 </endDate>
<name> ABENGOA: ABEINSA EPC </name>
<addressInfo>
<city> Phoenix </city>
<stateOrCountry>
<com1:stateOrCountry> AZ </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 85012 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> N </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> N </isRelatedToInvestment>
<positionDescription> Treasury Analyst </positionDescription>
</priorEmployer>
<priorEmployer>
<startDate> 01-2011 </startDate>
<endDate> 09-2011 </endDate>
<name> Unemployed </name>
<addressInfo>
<city> Phoenix </city>
<stateOrCountry>
<com1:stateOrCountry> AZ </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 85021 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> N </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> N </isRelatedToInvestment>
<positionDescription> Unemployed </positionDescription>
</priorEmployer>
<priorEmployer>
<startDate> 09-2009 </startDate>
<endDate> 12-2010 </endDate>
<name> IE Business School </name>
<addressInfo>
<city> Madrid </city>
<stateOrCountry>
<com1:stateOrCountry> U3 </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 28006 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> N </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> N </isRelatedToInvestment>
<positionDescription> Student </positionDescription>
</priorEmployer>
<priorEmployer>
<startDate> 02-2009 </startDate>
<endDate> 08-2009 </endDate>
<name> Unemployed </name>
<addressInfo>
<city> Phoenix </city>
<stateOrCountry>
<com1:stateOrCountry> AZ </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 85021 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> N </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> N </isRelatedToInvestment>
<positionDescription> Unemployed </positionDescription>
</priorEmployer>
<priorEmployer>
<startDate> 09-2007 </startDate>
<endDate> 01-2009 </endDate>
<name> Deloitte & Touche </name>
<addressInfo>
<city> Washington </city>
<stateOrCountry>
<com1:stateOrCountry> DC </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 20001 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> N </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> N </isRelatedToInvestment>
<positionDescription> Consultant </positionDescription>
</priorEmployer>
<priorEmployer>
<startDate> 11-2005 </startDate>
<endDate> 09-2007 </endDate>
<name> Bureau of Economic Analysis </name>
<addressInfo>
<city> Washington </city>
<stateOrCountry>
<com1:stateOrCountry> DC </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 20001 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> N </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> N </isRelatedToInvestment>
<positionDescription> Economist </positionDescription>
</priorEmployer>
<priorEmployer>
<startDate> 01-2005 </startDate>
<endDate> 10-2005 </endDate>
<name> Unemployed </name>
<addressInfo>
<city> Phoenix </city>
<stateOrCountry>
<com1:stateOrCountry> AZ </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 85021 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> N </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> N </isRelatedToInvestment>
<positionDescription> Unemployed </positionDescription>
</priorEmployer>
<priorEmployer>
<startDate> 08-2001 </startDate>
<endDate> 12-2004 </endDate>
<name> AMERICAN UNIVERSITY </name>
<addressInfo>
<city> Washington </city>
<stateOrCountry>
<com1:stateOrCountry> DC </com1:stateOrCountry>
</stateOrCountry>
<zipCode> 20016 </zipCode>
</addressInfo>
<isRelatedToMunicipalAdvisor> N </isRelatedToMunicipalAdvisor>
<isRelatedToInvestment> N </isRelatedToInvestment>
<positionDescription> Student </positionDescription>
</priorEmployer>
</priorEmployers>
</employmentHistory>
<isEngagedInOtherBusiness> N </isEngagedInOtherBusiness>
<disclosureQuestions>
<criminalDisclosure>
<criminalDisclosureCommonQuestion>
<com:isConvictedOfFelony> N </com:isConvictedOfFelony>
<com:isChargedWithFelony> N </com:isChargedWithFelony>
<com:isOrgConvictedOfFelony> N </com:isOrgConvictedOfFelony>
<com:isOrgChargedWithFelony> N </com:isOrgChargedWithFelony>
</criminalDisclosureCommonQuestion>
<isConvictedOfMisdemeanor> N </isConvictedOfMisdemeanor>
<isChargedWithMisdemeanor> N </isChargedWithMisdemeanor>
<isOrgConvictedOfMisdemeanor> N </isOrgConvictedOfMisdemeanor>
<isOrgChargedWithMisdemeanor> N </isOrgChargedWithMisdemeanor>
</criminalDisclosure>
<regulatoryDisclosure>
<regulatoryDisclosureCommonQuestion>
<com:isMadeFalseStatement> N </com:isMadeFalseStatement>
<com:isViolatedRegulation> N </com:isViolatedRegulation>
<com:isCauseOfDenial> N </com:isCauseOfDenial>
<com:isOrderAgainst> N </com:isOrderAgainst>
<com:isImposedPenalty> N </com:isImposedPenalty>
<com:isUnEthical> N </com:isUnEthical>
<com:isFoundInViolationOfRegulation> N </com:isFoundInViolationOfRegulation>
<com:isFoundInCauseOfDenial> N </com:isFoundInCauseOfDenial>
<com:isOrderAgainstActivity> N </com:isOrderAgainstActivity>
<com:isDeniedLicense> N </com:isDeniedLicense>
<com:isFoundMadeFalseStatement> N </com:isFoundMadeFalseStatement>
<com:isFoundInViolationOfRules> N </com:isFoundInViolationOfRules>
<com:isFoundInCauseOfSuspension> N </com:isFoundInCauseOfSuspension>
<com:isDiscipliend> N </com:isDiscipliend>
<com:isAuthorizedToActAttorney> N </com:isAuthorizedToActAttorney>
<com:isRegulatoryComplaint> N </com:isRegulatoryComplaint>
</regulatoryDisclosureCommonQuestion>
<isViolatedSecurityAct> N </isViolatedSecurityAct>
<isWillFullyAided> N </isWillFullyAided>
<isFailedToSupervise> N </isFailedToSupervise>
<isFoundWillFullyAided> N </isFoundWillFullyAided>
<isAssociationBared> N </isAssociationBared>
<isFinalOrder> N </isFinalOrder>
<isWillFullyViolatedSecurityAct> N </isWillFullyViolatedSecurityAct>
<isFailedResonably> N </isFailedResonably>
</regulatoryDisclosure>
<investigationDisclosure>
<isInvestigated> N </isInvestigated>
</investigationDisclosure>
<civilDisclosure>
<com:isEnjoined> N </com:isEnjoined>
<com:isFoundInViolationOfRegulation> N </com:isFoundInViolationOfRegulation>
<com:isDismissed> N </com:isDismissed>
<com:isNamedInCivilProceeding> N </com:isNamedInCivilProceeding>
</civilDisclosure>
<complaintDisclosure>
<isComplaintPending> N </isComplaintPending>
<isComplaintSettled> N </isComplaintSettled>
<isFraudCasePending> N </isFraudCasePending>
<isFraudCaseResultedAward> N </isFraudCaseResultedAward>
<isFraudCaseSettled> N </isFraudCaseSettled>
</complaintDisclosure>
<terminationDisclosure>
<isViloatedIndustryStandard> N </isViloatedIndustryStandard>
<isInvolvedInFraud> N </isInvolvedInFraud>
<isFailedToSupervise> N </isFailedToSupervise>
</terminationDisclosure>
<financialDisclosure>
<isCompromised> N </isCompromised>
<isBankruptcyPetition> N </isBankruptcyPetition>
<isTrusteeApointed> N </isTrusteeApointed>
<isBondRevoked> N </isBondRevoked>
</financialDisclosure>
<judgmentLienDisclosure>
<isLienAgainst> N </isLienAgainst>
</judgmentLienDisclosure>
</disclosureQuestions>
<signatureInfo>
<com:signature>
<com:dateSigned> 03-18-2024 </com:dateSigned>
<com:signature> Chad Evans </com:signature>
<com:title> Licensing Specialist </com:title>
</com:signature>
</signatureInfo>
</formData>
</edgarSubmission>


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Filing Submission 0000050916-24-000008   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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