Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗

CRD #31194 · FINRA BrokerCheck + SEC IAPD

RBC Capital Markets, LLC

RBC Capital Markets, LLC carries 490 BrokerCheck disclosures across 4,053 branch offices - light load for a national firm, earning a Grade C.

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Grade C
Safety grade
4,053
branch offices
490
disclosures
0.12
per office

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Branch offices

4,053 offices

FINRA: Large firm

Total disclosures

490 events

On FINRA BrokerCheck

Regulatory events

373 actions

76% of all disclosures

Disclosures per office

0.12 per office

490 ÷ 4,053 offices

RBC Capital Markets, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 85% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 373
Arbitrations 114
Civil Events 3
Total 490

Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗

Disclosure category share

Regulatory 373 Arbitration 114 Civil 3

Disclosure Profile

RBC Capital Markets, LLC's disclosure record, broken down by category and footprint.

Disclosures per office
0.12
Light load
Regulatory share
76%
of total disclosures
Size class
National firm
4,053 branches

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY
CRD Number
31194

Verify at FINRA BrokerCheck

FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.

View on FINRA BrokerCheck ↗

What the Record Says About RBC Capital Markets, LLC

RBC Capital Markets, LLC (broker-dealer, CRD# 31194 · New York, NY) operates 4,053 branch offices - a national firm (FINRA: large), scope ACTIVE.

BrokerCheck shows 490 disclosures as of July 2026 (about 0.12 per branch office): 373 regulatory, 114 arbitration, 3 civil. Letter grade C (3/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.

View all firms in NY →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

What does a grade of C mean for RBC Capital Markets, LLC?
A grade of C reflects RBC Capital Markets, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 490 total disclosures across 4,053 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does RBC Capital Markets, LLC have?
RBC Capital Markets, LLC has 490 total FINRA disclosures, including 373 regulatory events, 114 arbitrations, 3 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is RBC Capital Markets, LLC?
RBC Capital Markets, LLC operates 4,053 branch offices and is classified by FINRA as a large firm, registered in NY (National 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, LLC's disciplinary record?
You can verify RBC Capital Markets, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 31194. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid RBC Capital Markets, LLC 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, LLC carries 490 disclosures across 4,053 branch offices (about 0.12 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.