Catherine Rose Chen

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

CRD #4017981Investment Adviser Rep

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

States Registered

38 states

Registrations & licenses

Registration type

Investment Adviser Rep

Registered in 38 states

AlaskaArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIllinoisIndianaKansasLouisianaMaineMarylandMassachusettsMichiganMinnesotaMissouriMontanaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOhioOregonPennsylvaniaRhode IslandTennesseeTexasUtahVermontVirginiaWashingtonWisconsinWyoming

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

RBC CAPITAL Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Catherine Rose Chen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.