John Andrew Randolph

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
VI	RA	APPROVED	2023-04-14
MN	RA	APPROVED	2018-12-03
TX	RA	APPROVED_RES	2018-12-03

VI RA
APPROVED

Since 2023-04-14
MN RA
APPROVED

Since 2018-12-03
TX RA
APPROVED_RES

Since 2018-12-03

Branch Locations

641 Lake St. E. Suite 230, Wayzata, MN 55391 • United States

Independence, MN • 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
Ubs Financial Services Inc	Wayzata	MN	08/2010	11/2018
Rbc Capital Markets, Llc.	Wayzata	MN	11/2018	Present
City National Bank	Minneapolis	MN	12/2018	01/2025

08/2010 → 11/2018

Ubs Financial Services Inc

Wayzata, MN
11/2018 → Present

Rbc Capital Markets, Llc.

Wayzata, MN
12/2018 → 01/2025

City National Bank

Minneapolis, MN

Previous Registrations

2010-08-18 → 2018-12-10

Ubs Financial Services Inc.

Wayzata, MN
2003-11-17 → 2010-08-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wayzata, MN

Wayzata, MN

Wayzata, MN
2002-05-29 → 2003-11-19

Alliancebernstein L.P.

Minneapolis, MN

Other Businesses

(1) NAME OF ENTITY: Adirondack Mountain Reserve; ADDRESS: 137 Ausable Rd St Hubert NY 12943; INVESTMENT/NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Private Club; CAPACITY: Other/Trustee; START DATE: 08/07/2021; DUTIES: Board member of the 100+ year old private club; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-10-12

S66 Uniform Combined State Law Examination

2001-10-12

View on SEC IAPD