Stephenson Gragg

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

Authority	Category	Status	Date
IA	RA	APPROVED	2020-10-02
TX	RA	APPROVED	2020-09-29

IA RA
APPROVED

Since 2020-10-02
TX RA
APPROVED

Since 2020-09-29

Branch Locations

2308 56Th Ave West, Bettendorf, IA 52722 • United States

Bettendorf, IA • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Davenport	IA	04/2011	09/2020
Bank Of America, N.A.	Davenport	IA	07/2011	09/2020
Rbc Capital Markets, Llc	St. Paul	MN	09/2020	Present
City National Bank	St. Paul	MN	10/2020	Present

04/2011 → 09/2020

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Davenport, IA
07/2011 → 09/2020

Bank Of America, N.A.

Davenport, IA
09/2020 → Present

Rbc Capital Markets, Llc

St. Paul, MN
10/2020 → Present

City National Bank

St. Paul, MN

Previous Registrations

2011-04-29 → 2020-09-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Davenport, IA
2009-06-01 → 2011-05-05

Morgan Stanley

Moline, IL
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Moline, IL
2004-10-29 → 2007-04-02

Morgan Stanley Dw Inc.

Moline, IL

Moline, IL
1999-01-01 → 2004-11-12

Citigroup Global Markets Inc.

Davenport, IA

Other Businesses

(1) NAME OF ENTITY: Rocky Mountain Outdoor Advertising; ADDRESS: 1800 Belvedere Dr. Golden, CO 80401; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Family Owned Business; CAPACITY: Owner - Passive; START DATE: 04/02/2012; DUTIES: Passive shareholder in family business which I inherited at my Father's death in 2012; HOURS DEVOTED PER MONTH: None; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None; (2) NAME OF ENTITY: Gragg Family LLP; ADDRESS: 1800 Belvedere Dr Golden, CO 80401; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Real Estate property; CAPACITY: Owner/Passive; START DATE: 02/03/2014; DUTIES: Limited partner with no management duties; HOURS DEVOTED PER MONTH: None; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-13
S63	Uniform Securities Agent State Law Examination	1991-04-26

S65 Uniform Investment Adviser Law Examination

1994-09-13
S63 Uniform Securities Agent State Law Examination

1991-04-26

Other Names

Steve Gragg

View on SEC IAPD