AA
Anubhav Agarwal
RBC CAPITAL MARKETS
NEW YORK, NY 10281
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CRD#: 7570031
AA
Professional summary
Anubhav Agarwal is a registered financial professional currently at RBC CAPITAL MARKETS, LLC located in New York, New York and RBC CMA LTD located in New York, New York.
Anubhav is registered as a RR (Registered Representative) and started their career in finance in 2023. Anubhav has worked at 2 firms and has passed the Series 57TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Anubhav Agarwal's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 18, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 200 Vesey St., New York, NY 10281RIA
BD
CRD#: 31194
NEW YORK, NY
Current
August 29, 2023 - Present
RBC CMA LTD
Office #1: 200 Vesey Street 14th Floor, New York, NY 10281BD
CRD#: 121263
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 57TO
Date: 9/16/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 8/18/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CMA LTD
RBC CAPITAL MARKETS ARBITRAGE, S.A. | RBC CMA LTD | RBC CMA LLC
CRD#: 121263 / SEC#: , 8-65401
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
Walkers Corporate (bvi) Limited 171 Main Street, Po Box 92 Road Town, Tortola,, FOREIGN
Mailing Address
3 World Financial Center 200 Vesey Street - 14th Floor, New York, NY 10281
Phone number
(212) 858-7000
Established
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYAL BANK HOLDING INC. | DIRECT OWNER | |
| GRANNIS, JOHN | CHIEF OPERATING OFFICER | 2934841 |
| JASNOSZ, MICHAEL EDWARD | CHIEF COMPLIANCE OFFICER | 4386029 |
| JIANG, HE | PRINCIPAL OPERATIONS OFFICER | 5107323 |
| MANNING, THOMAS JAMES IV | PRESIDENT, CEO | 5182531 |
| PODYMA, LIDIA ANETA | PRINCIPAL FINANCIAL OFFICER | 5764487 |
| ROSENBAUM, DANIEL PHILIP | CHAIRMAN OF THE BOARD | 2797995 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
