Christopher Michael Spence

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2018-11-08
TX	RA	APPROVED_RES	2018-11-07

CA RA
APPROVED

Since 2018-11-08
TX RA
APPROVED_RES

Since 2018-11-07

Branch Locations

1331 North California Blvd. Suite 650, Walnut Creek, CA 94596 • United States

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

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

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-02-14

S66 Uniform Combined State Law Examination

2002-02-14

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

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