Christopher Michael Spence

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

• 06/2009 → 11/2018
  Morgan Stanley Smith Barney
  Pleasanton, CA
• 01/2015 → 11/2018
  Morgan Stanley Private Bank, National Association
  New York, NY
• 11/2018 → Present
  Rbc Capital Markets, Llc.
  Walnut Creek, CA

Previous Registrations

• 2009-06-01 → 2018-11-08
  Morgan Stanley
  Pleasanton, CA
• 2008-09-30 → 2009-06-01
  Citigroup Global Markets Inc.
  Pleasanton, CA
• 1997-07-08 → 2008-09-29
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oakland, CA
  Castro Valley, CA

Exams

• S66 Uniform Combined State Law Examination
  2002-02-14