RBC Capital Markets LLC
12/16/2024 | Press release | Distributed by Public on 12/16/2024 13:01
Information Required of Brokers and Dealers (Form X 17A 5)
| Form X-17A-5 Filer Information |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part III FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder |
OMB APPROVAL |
|
FORM X-17A-5 |
OMB Number: 3235-0123 Estimated average burden hours per response: 12.00 |
X-17A-5: Filer Information
| Filer CIK |
0000895502
|
| Filer CCC |
XXXXXXXX
|
| Is this a LIVE or TEST Filing? | LIVE TEST |
| Would you like a Return Copy? | |
| Is this an electronic copy of an official filing submitted in paper format? | |
| Confirming Copy File Number | |
Submission Contact Information |
|
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |
X-17A-5: Submission Information
| Report for the Period Beginning |
11-01-2023
|
| and Ending |
10-31-2024
|
| Type of Registrant | Broker-dealer |
| OTC derivatives dealer |
Material Weakness |
|
| Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? | Yes No |
X-17A-5: A. Registrant Identification
| Name of Broker-dealer |
RBC CAPITAL MARKETS, LLC
|
Address of Principal Place of Business (Do not use P.O. Box No.)
| Address 1 |
200 VESEY ST.
|
| Address 2 |
200 VESEY ST.
|
| City |
NEW YORK
|
| State/Country |
NEW YORK
|
| Mailing Zip/ Portal Code |
10281
|
Name and Telephone Number of Person to Contact in Regard to this Report
| Name |
Robert Giegerich
|
| Telephone Number |
6466186872
|
X-17A-5: B. Accountant Identification
Independent Public Accountant
| Name - if individual, state last, first, and middle name |
PricewaterhouseCoopers LLP
|
| Address 1 |
300 Madison Ave
|
| City |
New York
|
| State/Country |
NEW YORK
|
| Mailing Zip/ Postal Code |
10017
|
| Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
X-17A-5: Signature
Oath or Affirmation
I, Robert Giegerich, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of RBC CAPITAL MARKETS, LLC, as of 10-31-2024, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:| Signature |
Robert Giegerich
|
| Title |
Chief Financial Officer
|
Notary Public
| Checking this box acknowledges that this oath or affirmation has been notarized. |