{"id":4149,"date":"2023-05-26T10:38:51","date_gmt":"2023-05-26T14:38:51","guid":{"rendered":"https:\/\/www.rbcwealthmanagement.com\/en-us\/?page_id=4149"},"modified":"2024-06-27T09:54:51","modified_gmt":"2024-06-27T13:54:51","slug":"statement-of-financial-condition","status":"publish","type":"page","link":"https:\/\/www.rbcwealthmanagement.com\/en-us\/legal\/statement-of-financial-condition","title":{"rendered":"Statement of financial condition"},"content":{"rendered":"\n<div class=\"wp-block-rbcwm-hero-block rbc-hero-wm  rbc-hero-overlap rbc-hero-overlap-mobile rbc-hero-2gdhx3y62 hide-mobile-energy-lines text-center\"><style>\n\t\t.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient::before {\n\t\t\tbackground: linear-gradient(90deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient.rbc-hero-has-image-bleed::before {\n\t\t\tbackground: linear-gradient(90deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before {\n\t\t\tbackground: linear-gradient(180deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-2gdhx3y62 .rbc-hero-energy-lines.rbc-hero-energy-lines-left {\n\t\t\ttransform: scaleX(-1);\n\t\t}\n\n\t\t@media (max-width: 991px) {\n\t\t\t.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient::before,\n\t\t\t.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before,\n\t\t\t.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient.rbc-hero-has-image-bleed::before {\n\t\t\t\tbackground: none;\n\t\t\t}\n\n\t\t\t.rbc-hero-2gdhx3y62.rbc-hero-has-image-full.hide-mobile-energy-lines .rbc-hero-energy-lines {\n\t\t\t\tdisplay: none;\n\t\t\t}\n\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient .rbc-hero-img-wrap::after {\n\t\t\t\tbackground: linear-gradient( 0deg, #023169 0%, rgba(94, 120, 131, 0) 25% );\n\t\t\t}\n\t\t\t\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .rbc-hero-img-wrap::before,\n            .wp-block-rbcwm-hero-block.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .container .rbc-hero-img-wrap::before {\n\t\t\t\tbackground: linear-gradient( 180deg, #023169 0%, rgba( 94, 120, 131, 0 ) 25% );\n\t\t\t}\n\t\t\t\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-2gdhx3y62.is-style-rbc-hero-gradient .rbc-hero-card {\n\t\t\t\tbackground: #023169;\n\t\t\t}\n\t\t}\n\t<\/style><div class=\"container\"><div class=\"row no-gutters\"><div class=\"col-lg-12 rbc-hero-card-content\"><div class=\"rbc-card rbc-hero-card rbc-hero has-content\"><div class=\"rbc-card-wrap\"><div class=\"rbc-card-body\"><div class=\"rbc-hero-body-content\"><h1 class=\"rbc-hero-title\"><span>Statement of Financial Condition<\/span><\/h1><\/div><\/div><\/div><\/div><\/div><div class=\"rbc-hero-img-wrap col-lg-5 order-2 order-lg-1\"><\/div><\/div><\/div><\/div>\n\n\n\n<section class=\"wp-block-rbcwm-rbc-block rbc-block rbc-block-grey has-block-grey-background-color has-background\"><div class=\"container\"><div class=\"row \"><div class=\"col-lg-12\">\n<div class=\"row justify-content-between wrap blockId-6a28527f-5d79-412a-9787-d4abaee31b0e\">\n<div class=\"wp-block-rbcwm-column col-lg-8\">\n<p>RBC Capital Markets, LLC (the &#8220;Company&#8221;), 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.<\/p>\n\n\n\n<p>On January 10, 2001, Royal Bank of Canada (&#8220;RBC&#8221;) 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.<\/p>\n\n\n\n<p>A complete copy of the Company&#8217;s Statement of Financial Condition is contained in the following documents:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.rbcwealthmanagement.com\/assets\/wp-content\/uploads\/documents\/legal\/statement-of-financial-condition-oct-31-2025.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">10\/31\/25<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.rbcwealthmanagement.com\/assets\/wp-content\/uploads\/documents\/legal\/statement-of-financial-condition-apr-30-2025.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">04\/30\/25<\/a><\/li>\n<\/ul>\n\n\n\n<p><a href=\"http:\/\/get.adobe.com\/reader\/\" class=\"link-external\" target=\"_blank\" rel=\"noreferrer noopener\">Adobe\u00ae Acrobat Reader<\/a> &nbsp;is required to view the Statement of Financial Condition .pdf files.<\/p>\n<\/div>\n<\/div>\n<\/div><\/div><\/div><\/section>\n\n\n\n<section class=\"wp-block-rbcwm-rbc-block rbc-block rbc-block-grey rbc-footer-footnotes rbc-block-small has-block-grey-background-color has-background\"><div class=\"container\"><div class=\"row \"><div class=\"col-lg-12\">\n<div class=\"row wrap blockId-15f0b13c-8892-405c-99e1-3e0e98983ef8\">\n<div class=\"wp-block-rbcwm-column col-lg-12\">\n<p class=\"is-style-caption has-dark-grey-color has-text-color\"><strong>Investment and insurance products offered through RBC Wealth Management are not insured by the FDIC or any other federal government agency, are not deposits or other obligations of, or guaranteed by, a bank or any bank affiliate, and are subject to investment risks, including possible loss of the principal amount invested.<\/strong> <\/p>\n\n\n\n<p class=\"is-style-caption has-dark-grey-color has-text-color\"><strong>RBC Wealth Management, a division of RBC Capital Markets, LLC, registered investment adviser and Member <a href=\"https:\/\/www.nyse.com\/index\">NYSE<\/a>\/<a href=\"https:\/\/www.finra.org\/\">FINRA<\/a>\/<a href=\"https:\/\/www.sipc.org\/\">SIPC<\/a>.<\/strong><\/p>\n\n\n\n<p><\/p>\n<\/div>\n<\/div>\n<\/div><\/div><\/div><\/section>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":50,"featured_media":0,"parent":59,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"editor_notices":[],"rbc_url_alias":"legal\/statement-of-financial-condition","footnotes":""},"rbcwm_content_owner":[],"class_list":["post-4149","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v24.8 (Yoast SEO v26.8) - 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