Unclaimed Profile

Andrew Christopher Small

RBC CAPITAL MARKETS, LLC·NEW YORK, New York

SIE, Series 7, Series 8, Series 9, Series 10, Series 14, Series 24, Series 66, Series 79, Series 87Clean record25 years registeredRBC CAPITAL MARKETS, LLC

200 VESEY ST., NEW YORK, NY 10281CRD# 3068715Firm CRD# 31194

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Andrew Christopher Small · NEW YORK, NY

Registration

CRD #3068715 · RBC CAPITAL MARKETS, LLC · 25 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: RBC CAPITAL MARKETS, LLC

A. G. EDWARDS & SONS, INC.

Aug 2001 – Aug 2003

ST. LOUIS, MO

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 8

Series 9

Series 10

Series 14

Series 24

Series 66

Series 79

Series 87

Registration record

First registered · August 2, 2001

Years registered · 25

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RBC CAPITAL MARKETS, LLC

CRD 31194 · SEC 801-13059

AUM

$201.3B

Regulatory assets under management

Employees

8,204

451,404 client accounts

Services offered by RBC CAPITAL MARKETS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at RBC CAPITAL MARKETS, LLC →

Introduction

Speak with Andrew Christopher

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Andrew Christopher is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in NEW YORK?

Browse all registered financial advisors in NEW YORK, New York or claim this profile if it's yours.

Browse NEW YORK Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Andrew Christopher Small offer?

Andrew Christopher Small specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Andrew Christopher Small's credentials?

Andrew Christopher Small is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Andrew Christopher Small located?

Andrew Christopher Small is based in NEW YORK, New York, last registered with RBC CAPITAL MARKETS, LLC.

How does Andrew Christopher Small charge for services?

Andrew Christopher Small's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RBC CAPITAL MARKETS, LLC?

RBC CAPITAL MARKETS, LLC has approximately 8204 employees and manages $201.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →