CRD #31194 · FINRA BrokerCheck + SEC IAPD

RBC Capital Markets, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, RBC Capital Markets, LLC ranks #8 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #4 of 868 on the same disclosure sort used on the state browse page. RBC Capital Markets, LLC carries 490 BrokerCheck disclosures across 4,053 branch offices - light load for a national firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
4,053
branch offices
490
disclosures
#8 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 31194 RBC Capital Markets, LLC

RBC Capital Markets, LLC · Grade C · 490 disc · 0.12/office · National firm

  • CRD 31194
  • GRADE C
  • DISC 490
  • REG 373
  • ARB 114
  • CIV 3
  • BRANCH 4,053
  • PER-OFF 0.12
  • RANK #8 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: UBS Financial Services Inc. (0.15 disc/office)

UBS Financial Services …0.15Raymond James & Associa…0.08J.P. Morgan Securities LLC0.08RBC Capital Markets… (this)0.12
Disclosures per office among national firm peers (lower is cleaner)

RBC Capital Markets, LLC ranks #8 of 20,055 by disclosure count among graded broker-dealers; light load at 0.12 disclosures per office. Verify on FINRA BrokerCheck →

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.

Data updated July 2026

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

Disclosure category share

Regulatory 373 Arbitration 114 Civil 3

Firm Details

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

Lower disclosures per office

RBC Capital Markets, LLC in the heavier-disclosure third

RBC Capital Markets, LLC carries 490 BrokerCheck disclosures across 4,053 branch offices - a heavier-third raw book among graded firms (#8 of 20,055). Regulator-initiated events are 76% of the book (373 regulatory / 114 arbitration / 3 civil).

RBC Capital Markets, LLC runs 0.12 disclosures per branch office (cleaner than 85% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 56× state average

RBC Capital Markets, LLC sits above the New York disclosure average

RBC Capital Markets, LLC reports 490 BrokerCheck disclosures, 56× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does RBC Capital Markets, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, RBC Capital Markets, LLC ranks #8 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #4 of 868 on the same disclosure sort used on the state browse page. 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 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 (regulatory, arbitration, or civil). RBC Capital Markets, LLC's 490 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
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.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for RBC Capital Markets, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.