# EDGAR Filing Document

**Accession Number:** 0000050916
**File Stem:** 0000050916-26-000003
**Filing Date:** 2026-1
**Character Count:** 113317
**Document Hash:** db243afe0714a16bb75980027dfa249f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000050916-26-000003.hdr.sgml**: 20260218

**ACCESSION NUMBER**: 0000050916-26-000003

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251031

**FILED AS OF DATE**: 20260129

**DATE AS OF CHANGE**: 20260218

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RBC Capital Markets, LLC
- **CENTRAL INDEX KEY:** 0000050916
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 411416330
- **STATE OF INCORPORATION:** MN
- **FISCAL YEAR END:** 1031

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01264
- **FILM NUMBER:** 26645703

**BUSINESS ADDRESS:**
- **STREET 1:** 200 VESEY STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10281
- **BUSINESS PHONE:** 612-313-6330

**MAIL ADDRESS:**
- **STREET 1:** 250 NICOLLET MALL
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55401

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RBC Capital Markets CORP
- **DATE OF NAME CHANGE:** 20080325

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RBC DAIN RAUSCHER INC
- **DATE OF NAME CHANGE:** 20060110

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RBC DAIN RAUSCHER CORP
- **DATE OF NAME CHANGE:** 20011228

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000050916

**Filer CCC:** XXXXXXXX

**Contact Name:** ANTHONY CHAPPLE

**Contact Phone:** 612-371-7639

**Contact Email:** anthony.chapple@rbc.com

**Notification Emails:** alicia.andersen@rbc.com, ANTHONY.CHAPPLE@RBC.COM, securitieslicensingspecialists@rbc.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** RBC Capital Markets, LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 31194

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 41-1416330

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00365-00

- **Municipal Advisor:** SEC File No: 867-01264

- **Broker-Dealer:** SEC File No: 008-45411, CRD No: 31194

- **SEC-Registered Investment Adviser:** SEC File No: 801-13059, CRD No: 31194

- **Other:** Description: ALL 50 STATES, PR AND VI,, ID: 31194

**Additional Registrations:**

- **CFTC:** 0000105

- **NATIONAL FUTURES ASSOCIATION:** 0000105

- **ALABAMA - AGENCY LICENSE:** 186137

- **ALASKA  - AGENCY LICENSE:** 22121

- **ARIZONA  - AGENCY LICENSE:** 1800000977

- **ARKANSAS  - AGENCY LICENSE:** 100106812

- **CALIFORNIA  - AGENCY LICENSE:** 0C38863

- **COLORADO  - AGENCY LICENSE:** 77004

- **CONNECTICUT  - AGENCY LICENSE:** 001017467

- **DELAWARE - AGENCY LICENSE:** 0155592

- **DISTRICT OF COLUMBIA  - AGENCY LICENSE:** 185219

- **FLORIDA - AGENCY LICENSE:** L023697

- **GEORGIA - AGENCY LICENSE:** 113032

- **HAWAII  - AGENCY LICENSE:** 964068

- **IDAHO - AGENCY LICENSE:** 61461

- **ILLINOIS - AGENCY LICENSE:** 100306671

- **INDIANA  - AGENCY LICENSE:** 252677N

- **IOWA - AGENCY LICENSE:** 1001000676

- **KANSAS - AGENCY LICENSE:** 411416330-0

- **KENTUCKY - AGENCY LICENSE:** DOI-547749

- **LOUISIANA  - AGENCY LICENSE:** 243024

- **MAINE - AGENCY LICENSE:** AGN84770

- **MASSACHUSETTS  - AGENCY LICENSE:** 964068

- **MICHIGAN - AGENCY LICENSE:** 0017913

- **MINNESOTA - AGENCY LICENSE:** 20124192

- **MISSISSIPPI - AGENCY LICENSE:** 9404161

- **MISSOURI - AGENCY LICENSE:** 3571

- **MONTANA - AGENCY LICENSE:** 0907948

- **NEBRASKA - AGENCY LICENSE:** 100177819

- **NEVADA - AGENCY LICENSE:** 9275

- **NEW HAMPSHIRE - AGENCY LICENSE:** 0361774

- **NEW JERSEY - AGENCY LICENSE:** 9827745

- **NEW MEXICO - AGENCY LICENSE:** 1800001836

- **NEW YORK - AGENCY LICENSE:** LA-1187910

- **NORTH CAROLINA - AGENCY LICENSE:** 1000010233

- **NORTH DAKOTA - AGENCY LICENSE:** 20291578

- **OHIO - AGENCY LICENSE:** 23972

- **OKLAHOMA - AGENCY LICENSE:** 100100702

- **OREGON:** 100156711

- **PENNSYLVANIA - AGENCY LICENSE:** 56061

- **SOUTH CAROLINA - AGENCY LICENSE:** 1903086368

- **SOUTH DAKOTA - AGENCY LICENSE:** 964068

- **TENNESSEE - AGENCY LICENSE:** 1038

- **TEXAS - AGENCY LICENSE:** 14990

- **UTAH - AGENCY LICENSE:** 90881

- **VIRGINIA - AGENCY LICENSE:** 107027

- **WASHINGTON - AGENCY LICENSE:** 140709

- **WEST VIRGINIA - AGENCY LICENSE:** 100112937

- **WISCONSIN - AGENCY LICENSE:** 100193231

- **WYOMING - AGENCY LICENSE:** 5213

- **MARYLAND - AGENCY LICENSE:** 132251

**E. Principal Office and Place of Business:** 200 VESEY STREET, NEW YORK, NY, 10281

**Telephone Number:** 212-858-7000

**Additional Offices of Employment:**

- **Office #1 (Add):** 2398 E Camelback Rd - Suite 700, PHOENIX, AZ, 85016 | Phone: 602-381-5375

- **Office #2 (Add):** 200 CRESCENT COURT SUITE 1500, DALLAS, TX, 75201 | Phone: 214-989-1660

- **Office #3 (Add):** 1801 CALIFORNIA STREET SUITE 3850, DENVER, CO, 80202 | Phone: 303-595-1200

- **Office #4 (Add):** Chemed Center, 255 E 5th Street, 10th Floor, Cincinnati, OH, 45202 | Phone: 513-621-2000

- **Office #5 (Add):** 609 Main Street, 37th Floor,, Houston, TX, 77002 | Phone: 713-651-3338

**Mailing Address is Different from Principal Office:** No

**F. Website:** https://www.rbccm.com

**G. Chief Compliance Officer (CCO):**

**Name:** Paul Adam Carlesimo

**Address:** 200 Vesey Street, New York, NY, 10281

**Phone Number:** 212-428-6974

**Email:** paul.carlesimo@rbccm.com

**H. Business Affiliates:**

- **Name:** RBC USA HOLDCO CORPORATION

- **Name:** ROYAL BANK OF CANADA

  - **Issuing Agency:** CFTC

  - **Jurisdiction:** 

- **Name:** ROYAL BANK OF CANADA

  - **Issuing Agency:** Federal Reserve

  - **Jurisdiction:** 

- **Name:** ROYAL BANK OF CANADA

  - **Issuing Agency:** Toronto Stock Exchange

  - **Jurisdiction:** A6

- **Name:** ROYAL BANK OF CANADA

  - **Issuing Agency:** Office of the Superintendent of Financial Institutions

  - **Jurisdiction:** A6

- **Name:** RBC US GROUP HOLDINGS LLC

  - **Issuing Agency:** Federal Reserve

  - **Jurisdiction:** 

- **Name:** ROYAL BANK OF CANADA

  - **Issuing Agency:** SWISS (SIX) STOCK EXCHANGE

  - **Jurisdiction:** V8

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** October

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** MN

**D. Date of Organization:** 11-01-2010

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 8781

**B. Municipal Advisory Activities - Employees:** 67

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 67

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 6

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 272

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice On Selection, Brokerage Of MEI

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: —

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Adviser, Banking/Thrift institution, Trust Company, Insurance company or agency, Real estate broker or dealer, Trust Company, Real estate broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Trust Company, Investment Adviser, Investment Adviser, Investment Adviser, Commodity pool operator, Commodity trading advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Trust Company, Trust Company, Trust Company, Trust Company, Trust Company, Banking/Thrift institution, Trust Company, Insurance company or agency, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Insurance company or agency, Banking/Thrift institution, Investment Adviser, Investment Company, Investment Adviser, Insurance company or agency, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Trust Company, Investment Adviser, Banking/Thrift institution, Insurance company or agency, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Investment Company, Investment Company, Investment Company, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Banking/Thrift institution, Insurance company or agency, Insurance company or agency, Trust Company, Investment Adviser, Banking/Thrift institution, Investment Adviser, Sponsor or syndicator of limited partnerships, Trust Company, Trust Company, Trust Company, Insurance company or agency, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Investment Company, Trust Company, Investment Adviser, Insurance company or agency, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser

**Total Associated Persons:** 67

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** Yes

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** Yes

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** Yes

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** Yes

- **Applicant/Advisory Affiliate Charged with Felony?:** Yes

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** Yes

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** Yes

- **Authorization to Act as Attorney/Accountant Revoked?:** Yes

- **Subject of a Regulatory Complaint?:** Yes

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** Yes

- **Found to Have Violated Regulations?:** Yes

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                       | Title/Status                                                   | Date Acquired   | Ownership Code           | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER                                                   | 11-01-2010      | E - 75% or more          | Yes               | 20-0563684   |  |
| THOMAS STEVEN SAGISSOR     | President of RBC Wealth Management                             | 01-21-2011      | NA - less than 5%        | Yes               |  | 2429425      |
| JOHN J THURLOW             | CHIEF OPERATING OFFICER &CHAIRMAN OF THE BOARD                 | 06-04-2018      | A - 5% but less than 10% | Yes               |  | 5726613      |
| Thomas N Murphy            | MD, Head of CM Operations                                      | 10-19-2016      | NA - less than 5%        | Yes               |  | 4519183      |
| Brett Lane Thorne          | Head, Correspondent Advisory Services                          | 08-26-2016      | NA - less than 5%        | Yes               |  | 2523266      |
| MATTHEW ROSS STOPNIK       | CO-HEAD, US INVESTMENT BANKING                                 | 11-01-2018      | NA - less than 5%        | Yes               |  | 2580834      |
| ROBERT ARTHUR GIEGERICH    | PRINCIPAL FINANCIAL OFFICER                                    | 04-20-2020      | NA - less than 5%        | Yes               |  | 5736294      |
| JOHN CHRISTOPHER PENN      | U.S. CAPITAL MARKETSGENERAL COUNSEL                            | 12-16-2021      | NA - less than 5%        | Yes               |  | 5135403      |
| Matthew Cody Lischin       | CO-HEAD OF U.S. CAPITALMARKETS LAW GROUP                       | 10-01-2022      | NA - less than 5%        | Yes               |  | 4974723      |
| Dorje Tsering Glassman     | CO-HEAD OF U.S. CAPITALMARKETS LAW GROUP                       | 10-01-2022      | NA - less than 5%        | Yes               |  | 6568226      |
| Suzanne Marie Taylor       | CHIEF COMPLIANCE OFFICEROF WM-US' REGISTEREDINVESTMENT ADVISOR | 07-01-2022      | NA - less than 5%        | No                |  | 4682020      |
| Paul Adam Carlesimo        | CHIEF COMPLIANCE OFFICER,RBC CAPITAL MARKETS - U.S.            | 07-01-2022      | NA - less than 5%        | Yes               |  | 4718504      |
| Kristen Elizabeth Espanak  | CHIEF RISK OFFICER, USA                                        | 12-01-2022      | NA - less than 5%        | Yes               |  | 5570750      |
| VITO ANTONIO SPERDUTO      | DIRECTOR, CEO OF U.S. CAPITAL MARKETS                          | 09-01-2024      | NA - less than 5%        | Yes               |  | 2524961      |
| Sean Walter O'Connor       | CHIEF COMPLIANCEOFFICER, RBC WEALTH MANAGEMENT - U.S.          | 09-01-2024      | NA - less than 5%        | Yes               |  | 6578918      |
| Cindy Louise Schreiner     | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER              | 04-01-2024      | NA - less than 5%        | Yes               |  | 1470050      |

### Schedule B: Indirect Owners

| Owning Entity              | Name                 | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| RBC USA HOLDCO CORPORATION | ROYAL BANK OF CANADA | ULTIMATE OWNER | 11-01-2010      | E - 75% or more  | Yes               | 13-5357855   |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity              | Name                       | Title/Status                                                   | Date Acquired   | Ownership Code           | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | RBC USA HOLDCO CORPORATION | DIRECT OWNER                                                   | 11-01-2010      | E - 75% or more          | Yes               | 20-0563684   |  |
|  | Indirect    | RBC USA HOLDCO CORPORATION | ROYAL BANK OF CANADA       | ULTIMATE OWNER                                                 | 11-01-2010      | E - 75% or more          | Yes               | 13-5357855   |  |
| Amend  | Direct      |  | THOMAS STEVEN SAGISSOR     | Vice Chair of RBC Wealth Management                            | 01-21-2011      | NA - less than 5%        | Yes               |  | 2429425      |
|  | Direct      |  | JOHN J THURLOW             | CHIEF OPERATING OFFICER &CHAIRMAN OF THE BOARD                 | 06-04-2018      | A - 5% but less than 10% | Yes               |  | 5726613      |
| Delete | Direct      |  | Thomas N Murphy            | MD, Head of CM Operations                                      | 10-19-2016      | NA - less than 5%        | Yes               |  | 4519183      |
|  | Direct      |  | Brett Lane Thorne          | Head, Correspondent Advisory Services                          | 08-26-2016      | NA - less than 5%        | Yes               |  | 2523266      |
| Delete | Direct      |  | MATTHEW ROSS STOPNIK       | CO-HEAD, US INVESTMENT BANKING                                 | 11-01-2018      | NA - less than 5%        | Yes               |  | 2580834      |
|  | Direct      |  | ROBERT ARTHUR GIEGERICH    | PRINCIPAL FINANCIAL OFFICER                                    | 04-20-2020      | NA - less than 5%        | Yes               |  | 5736294      |
|  | Direct      |  | JOHN CHRISTOPHER PENN      | U.S. CAPITAL MARKETSGENERAL COUNSEL                            | 12-16-2021      | NA - less than 5%        | Yes               |  | 5135403      |
|  | Direct      |  | Matthew Cody Lischin       | CO-HEAD OF U.S. CAPITALMARKETS LAW GROUP                       | 10-01-2022      | NA - less than 5%        | Yes               |  | 4974723      |
|  | Direct      |  | Dorje Tsering Glassman     | CO-HEAD OF U.S. CAPITALMARKETS LAW GROUP                       | 10-01-2022      | NA - less than 5%        | Yes               |  | 6568226      |
| Delete | Direct      |  | Suzanne Marie Taylor       | CHIEF COMPLIANCE OFFICEROF WM-US' REGISTEREDINVESTMENT ADVISOR | 07-01-2022      | NA - less than 5%        | No                |  | 4682020      |
|  | Direct      |  | Paul Adam Carlesimo        | CHIEF COMPLIANCE OFFICER,RBC CAPITAL MARKETS - U.S.            | 07-01-2022      | NA - less than 5%        | Yes               |  | 4718504      |
|  | Direct      |  | Kristen Elizabeth Espanak  | CHIEF RISK OFFICER, USA                                        | 12-01-2022      | NA - less than 5%        | Yes               |  | 5570750      |
|  | Direct      |  | VITO ANTONIO SPERDUTO      | DIRECTOR, CEO OF U.S. CAPITAL MARKETS                          | 09-01-2024      | NA - less than 5%        | Yes               |  | 2524961      |
|  | Direct      |  | Sean Walter O'Connor       | CHIEF COMPLIANCEOFFICER, RBC WEALTH MANAGEMENT - U.S.          | 09-01-2024      | NA - less than 5%        | Yes               |  | 6578918      |
|  | Direct      |  | Cindy Louise Schreiner     | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER              | 04-01-2024      | NA - less than 5%        | Yes               |  | 1470050      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1712386

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1712385

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1712253

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1711539

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1704351

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1701473

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1698963

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1696266

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1690182

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1689996

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1689995

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1689577

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1688937

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1688936

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1686486

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1686485

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1686484

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1686483

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1686482

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1683904

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1683903

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1683902

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1683901

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681981

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681749

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681748

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681746

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681745

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681744

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681743

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681741

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681739

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681736

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1681734

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1680673

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1680632

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1677801

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1676632

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1676630

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1676140

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1675640

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1675111

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1666532

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1656313

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1656109

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1651765

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1644399

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1639866

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1639594

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1618710

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1616492

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1610639

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1593917

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1587319

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1582765

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1580978

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1577367

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1572887

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1571935

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1566372

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1551816

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1541931

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1532698

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1525887

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1522427

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1521327

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1520499

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1514459

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1511470

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1510593

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1504882

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1496619

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1495987

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1495986

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1495985

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1492478

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1492477

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1492476

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1492475

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1491738

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1491331

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1491329

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1491082

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1491077

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1486747

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1482725

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1482724

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1482649

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1480539

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1480538

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1480537

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1480536

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1480535

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1480534

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1480533

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1477560

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1475254

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1471934

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1471933

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1471932

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1471931

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1471930

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1468496

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1468129

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1467200

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1467199

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1467198

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1467197

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1467195

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1467196

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1462714

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1447740

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1445550

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1423548

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1409781

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1383991

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1383205

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1368347

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1350741

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1332570

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1313451

**Regulatory DRP for: Applicant (Responding to Questions: 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1307437

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1303837

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1278726

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1257964

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1257175

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1241976

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1229334

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1227589

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1225807

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1221985

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1155213

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1145881

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1140722

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1127782

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1120905

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1120899

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1090741

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1083856

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1083855

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1083853

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1083852

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1083851

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1083850

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1083849

**Regulatory DRP for: Applicant (Responding to Questions: 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078621

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078620

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078614

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078600

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078599

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078597

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078595

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078594

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078593

**Regulatory DRP for: Applicant (Responding to Questions: 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078526

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078525

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078524

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078523

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078519

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078518

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ragozzino

- **CRD Number:** 31194

- **Disclosure Number:** 1078516

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078515

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078514

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078512

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077360

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077359

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077357

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077338

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077261

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077260

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077249

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077248

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077247

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077245

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077244

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077160

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077159

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077158

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077157

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077155

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077154

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077153

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077152

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077150

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077148

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077147

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077145

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077144

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077143

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077142

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077140

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077139

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077138

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077137

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077136

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077135

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077133

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077099

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077098

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1076252

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1076250

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1076249

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1076248

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1076247

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1076246

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1076244

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1076203

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1076200

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1075715

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1075714

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1075713

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1075712

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1075711

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1075710

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1075709

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1075707

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1052280

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1038809

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1034151

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 970948

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 854468

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 734989

**Regulatory DRP for: Applicant (Responding to Questions: 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 657656

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618183

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618181

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618179

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618178

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618177

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618176

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618175

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618174

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618173

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618171

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618170

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618169

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618168

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618167

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618166

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618164

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618163

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618162

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618161

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618160

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618159

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618158

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618157

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618156

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618155

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618154

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618153

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618152

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618151

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 618147

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 612002

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 555914

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 330520

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1151580

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1151579

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1151578

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1151577

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1151576

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1151573

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1151572

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1667760

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1348155

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1078590

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1077132

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for CITY NATIONAL SECURITIES

- **CRD Number:** 103705

- **Disclosure Number:** 1847961

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RIM SECURITIES LLC

- **CRD Number:** 18466

- **Disclosure Number:** 1847958

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1846692

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1816266

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1804371

**Regulatory DRP for: Applicant (Responding to Questions: 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1788966

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1768868

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1767730

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1746342

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1730802

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1730801

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1723387

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951631

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951525

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951487

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951483

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951482

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951481

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951479

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951399

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1950478

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1932849

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1928614

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1914870

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1908282

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1905069

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1898268

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1895439

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1895438

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1886647

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1879981

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1875179

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1875128

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1873902

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1869268

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC Capital Markets, LLC

  - **Disclosure Number:** 1151575

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC Capital Markets, LLC

  - **Disclosure Number:** 1738423

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 121263

  - **Filed On (AP):** Form ADV/BD/U4 for RBC Capital Markets, LLC

  - **Disclosure Number:** 1875128

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1967385

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1976095

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1978674

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1980676

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1985561

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1987440

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2004829

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

  - **Disclosure Number:** 2017761

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2019936

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2023998

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2024001

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2024015

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2047932

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2047935

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2047948

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2048003

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2048004

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2048014

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for ROYAL BANK OF CANADA

  - **Disclosure Number:** 2048270

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ROYAL BANK OF CANADA

- **CRD Number:** 31194

- **Disclosure Number:** 2048413

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ROYAL BANK OF CANADA

- **CRD Number:** 31194

- **Disclosure Number:** 2048635

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2049905

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2050116

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2051028

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2101428

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2090273

**Regulatory DRP for: Applicant (Responding to Questions: 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2071814

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2054829

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2054822

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2054818

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2054556

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2053914

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2053538

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1996083

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951632

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 121263

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS LLC

  - **Disclosure Number:** 1867306

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2153093

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2090273

**Regulatory DRP for: Applicant (Responding to Questions: 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2071814

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2054829

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2054822

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2054818

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2054556

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2053914

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2053538

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2051028

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPTIAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2050116

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2049905

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2048635

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2048413

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2048270

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 2048270

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2048014

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2048004

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2048003

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2047948

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2047935

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2047932

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2024015

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2024001

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2023998

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2019936

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2017761

  - **Associated Person:** —

  - **CRD Number:** 143719

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 2017761

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2004829

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1996083

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1987440

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1985561

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1980676

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1978674

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1976095

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1967385

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951632

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951631

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951525

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951487

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951483

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951482

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951481

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951479

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1951399

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1950478

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1932849

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1928614

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1914870

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1908282

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1905069

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1898268

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1895439

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1895438

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1886647

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1879981

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1875179

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1875128

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1873902

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1869268

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1867306

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1867306

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1847961

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1847961

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1847958

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1847958

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1846692

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1816266

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1804371

**Regulatory DRP for: Applicant (Responding to Questions: 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1788966

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1768868

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1767730

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1746342

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1730802

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1723387

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1730801

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 1738423

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1738423

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2178039

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2170197

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2158593

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2153125

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2153093

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2144160

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2139225

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2119474

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPTIAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2119474

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2118359

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2118357

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPTIAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2115431

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2108477

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2101428

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2178039

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2188328

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2188329

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2188330

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2188331

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2193222

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C3)**

  - **Associated Person:** —

  - **CRD Number:** 31194

  - **Filed On (AP):** Form ADV/BD/U4 for RBC Capital Markets, LLC

  - **Disclosure Number:** 2178039

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2283655

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2278834

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Royal Bank of Canada

- **CRD Number:** 31194

- **Disclosure Number:** 2320967

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC CAPITAL MARKETS, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2336827

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2346536?

**Regulatory DRP for: Applicant (Responding to Questions: 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RBC Capital Markets, LLC

- **CRD Number:** 31194

- **Disclosure Number:** 2353493

### Execution Page

**Signature:** Paul Carlesimo

**Signer Name:** Paul Carlesimo

**Title:** CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S.

**Date:** 01-29-2026

**CRD Number:** 4718504