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John K Spies

Rbc Capital Markets, LLC

Dakota Dunes, SD

Hinton, IA

CRD 3247624

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2017-02-27
IA RA APPROVED 2017-02-24
TX RA APPROVED 2017-02-22
  • SD RA
    APPROVED
    Since 2017-02-27
  • IA RA
    APPROVED
    Since 2017-02-24
  • TX RA
    APPROVED
    Since 2017-02-22

Branch Locations

200 Gold Circle Suite 100, Dakota Dunes, SD 57049 • United States

Hinton, IA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Sioux City IA 06/2009 02/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 02/2017
Rbc Capital Markets, Llc Dakota Dunes SD 02/2017 Present
  • 06/2009 → 02/2017
    Morgan Stanley Smith Barney
    Sioux City, IA
  • 01/2015 → 02/2017
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 02/2017 → Present
    Rbc Capital Markets, Llc
    Dakota Dunes, SD
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-09-13
  • S66 Uniform Combined State Law Examination
    1999-09-13

View on SEC IAPD

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