Benjamin H Spalding

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-10-31

TX RA
APPROVED

Since 2019-10-31

Branch Locations

2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467 • United States

Scottsdale, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	North Scottsdale	AZ	08/2010	11/2016
Wells Fargo Clearing Services, Llc	North Scottsdale	AZ	11/2016	10/2019
Rbc Capital Markets, Llc.	Phoenix	AZ	10/2019	Present

08/2010 → 11/2016

Wells Fargo Advisors Llc

North Scottsdale, AZ
11/2016 → 10/2019

Wells Fargo Clearing Services, Llc

North Scottsdale, AZ
10/2019 → Present

Rbc Capital Markets, Llc.

Phoenix, AZ

Previous Registrations

2016-10-21 → 2019-11-05

Wells Fargo Clearing Services, Llc

Scottsdale, AZ

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-04-21

S63 Uniform Securities Agent State Law Examination

1989-04-21

Other Names

Ben Spalding
Benjamin Haydon Spalding
Benjamin Haydon (Iii) Spalding
Benjamin Haydon Spalding
Ben H Spalding

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews