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John Christopher Penn

General Counsel at RBC Capital Markets

Officer record from the firm’s Form ADVForm ADV filed 30 September 2026

John Christopher Penn is General Counsel of RBC Capital Markets, LLC, a New York investment adviser.

Role at RBC Capital Markets

Title on Schedule A
General Counsel
Control
John Christopher Penn is a control person of RBC Capital Markets.
Ownership
An individual ownership band is not available in the source record.
Tenure
John Christopher Penn has held the filed role since December 2021.

The firm

RBC Capital Markets, LLC
New York, NY

Form ADV filed 30 September 2026

$310B AUM283,910 clients5,908 advisers26 offices

Career on record

The IAPD individual lookup on 18 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Registrations and exams

Individual registration and examination information for John Christopher Penn is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name
John Christopher Penn
CRD
5135403
Firm
RBC Capital Markets, LLC
Record basis
Form ADV officer listing

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does John Christopher Penn work?

John Christopher Penn has been General Counsel of RBC Capital Markets, LLC since December 2021, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Leadership at RBC Capital Markets

Sources

  1. IAPD individual lookup, CRD 5135403. This profile uses the Form ADV officer listing; the individual lookup did not provide a current investment-adviser record.
  2. Form ADV Part 1A, Schedules A and B of RBC Capital Markets, LLC, filed 30 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with John Christopher Penn or RBC Capital Markets, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.