John Anthony Franz

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2003 → 12/2016
  City Securities Corporation
  Indianapolis, IN
• 01/2017 → 02/2017
  Stifel Nicolaus & Co Inc
  Indianapolis, IN
• 01/2017 → 06/2017
  David A. Noyes & Company
  Indianapolis, IN
• 01/2017 → 06/2017
  Noyes Advisors Llc
  Indianapolis, IN
• 06/2017 → Present
  Rbc Capital Markets, Llc
  Indianapolis, IN

Previous Registrations

• 2017-03-09 → 2017-07-10
  Sanctuary Advisors, Llc
  Indianapolis, IN
  Miami, FL
• 2017-01-03 → 2017-02-14
  Stifel, Nicolaus & Company, Incorporated
  Indianapolis, IN
  St. Louis, MO
• 2006-04-19 → 2016-12-31
  City Securities Corporation
  Indianapolis, IN
  Indianapolis, IN
• 2012-04-16 → 2012-04-16
  J.J.B. Hilliard, W.L. Lyons, Llc
  Indianapolis, IN
• 1998-12-15 → 2003-03-06
  Citigroup Global Markets Inc.
  Indianapolis, IN

Other Businesses

1) Name of Entity: JoJo's Jumpstart Foundation Non-investment related Address of Entity: 714 Chris Lane Noblesville IN 46062 Nature of OBA: JoJo's Jumpstart Foundation provides financial assistance through scholarships for graduating high S Position/Title/Relationship: Board of Directors * Start Date: 09/22/23 Time devoted: 1 hr. per month; 0 during securities trading hours Duties: I will help work and volunteer at a fund raiser dinner

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-11-06
• S63 Uniform Securities Agent State Law Examination
  1988-06-02

Other Names

• John Franz