CRD #6579 · FINRA BrokerCheck + SEC IAPD

RBC Capital Markets Corporation

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, RBC Capital Markets Corporation ranks #359 of 20,055 by disclosure count (most disclosures first). RBC Capital Markets Corporation carries 18 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
18
disclosures
#359 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6579 RBC Capital Markets Corporation

RBC Capital Markets Corporation · Grade F · 18 disc · 18.00/office · Single-office firm

  • CRD 6579
  • GRADE F
  • DISC 18
  • REG 18
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #359 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: ABN Amro Securities LLC (18.00 disc/office)

ABN Amro Securities LLC18.00Aletheia Securities, Inc.,18.00BNP Paribas Prime Broke…18.00RBC Capital Markets… (this)18.00
Disclosures per office among single-office firm peers (lower is cleaner)

RBC Capital Markets Corporation ranks #359 of 20,055 by disclosure count among graded broker-dealers; heavy load at 18.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

0 offices

FINRA: Small firm

Total disclosures

18 events

On FINRA BrokerCheck

Regulatory events

18 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 18
Arbitrations 0
Civil Events 0
Total 18

Counts for RBC Capital Markets Corporation reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 18 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
6579

Regulator-heavy mix

RBC Capital Markets Corporation in the heavier-disclosure third

RBC Capital Markets Corporation carries 18 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#359 of 20,055). Regulator-initiated events are 100% of the book (18 regulatory / 0 arbitration / 0 civil).

100% of RBC Capital Markets Corporation's 18 disclosures are regulator-initiated (18 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of RBC Capital Markets Corporation's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does RBC Capital Markets Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, RBC Capital Markets Corporation ranks #359 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for RBC Capital Markets Corporation?
A grade of F reflects RBC Capital Markets Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 18 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does RBC Capital Markets Corporation have?
RBC Capital Markets Corporation has 18 total FINRA disclosures, including 18 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is RBC Capital Markets Corporation?
RBC Capital Markets Corporation operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify RBC Capital Markets Corporation's disciplinary record?
You can verify RBC Capital Markets Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6579. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). RBC Capital Markets Corporation's 18 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid RBC Capital Markets Corporation because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. RBC Capital Markets Corporation carries 18 disclosures across 0 branch offices (about 18.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.