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Josh J Williams

Rbc Capital Markets, LLC

Toledo, OH

Phoenix, AZ

Phoenix, AZ

CRD 7177676

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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:

Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-02-24
AZ RA APPROVED 2023-01-10
OH RA APPROVED 2023-01-06
  • TX RA
    APPROVED
    Since 2023-02-24
  • AZ RA
    APPROVED
    Since 2023-01-10
  • OH RA
    APPROVED
    Since 2023-01-06

Branch Locations

7150 Granite Circle Suite 203, Toledo, OH 43617 • United States

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

Phoenix, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cco Staffing Los Angelos CA 07/2019 08/2021
Axio Financial New York NY 02/2018 06/2019
O'SHares Etfs Boston MA 08/2017 11/2017
Bilsten Consulting Tempe AZ 02/2016 06/2017
Cco Capital, Llc Phoenix AZ 07/2019 08/2021
Rbc Capital Markets, Llc Toledo OH 11/2022 Present
Unemployed Phoenix AZ 09/2021 11/2021
Indeed Phoenix AZ 11/2021 10/2022
City National Bank Toledo OH 03/2023 Present
  • 07/2019 → 08/2021
    Cco Staffing
    Los Angelos, CA
  • 02/2018 → 06/2019
    Axio Financial
    New York, NY
  • 08/2017 → 11/2017
    O'SHares Etfs
    Boston, MA
  • 02/2016 → 06/2017
    Bilsten Consulting
    Tempe, AZ
  • 07/2019 → 08/2021
    Cco Capital, Llc
    Phoenix, AZ
  • 11/2022 → Present
    Rbc Capital Markets, Llc
    Toledo, OH
  • 09/2021 → 11/2021
    Unemployed
    Phoenix, AZ
  • 11/2021 → 10/2022
    Indeed
    Phoenix, AZ
  • 03/2023 → Present
    City National Bank
    Toledo, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-01-05
S63 Uniform Securities Agent State Law Examination 2020-07-27
  • S65 Uniform Investment Adviser Law Examination
    2023-01-05
  • S63 Uniform Securities Agent State Law Examination
    2020-07-27
Other Names
  • Josh J Willaims
  • Joshua Williams

View on SEC IAPD

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