Stephen Jeffrey Groth

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

• 05/1991 → 09/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Portland, OR
• 12/2009 → 09/2021
  Bank Of America,Na
  Portland, OR
• 09/2021 → Present
  Rbc Capital Markets, Llc
  Portland, OR
• 12/2021 → Present
  City National Bank
  Portland, OR

Previous Registrations

• 2001-05-02 → 2021-09-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Portland, OR
  Vancouver, WA
  Portland, OR

Other Businesses

(1) NAME: Groth Holdings LLC Non-Investment Related ADDRESS: 1010 SW Myrtle Drive Portland, Oregon 97201 Nature of OBA: Investment Account and Rental Properties Position/title/Relationship: Steve Groth will be the Manager of Groth Holdings LLC. Karen Groth and the Harry E Groth Irrevocable Trusts are the 50/50 owners. Start Date: 06/06/22 Time Devoted: 06/06/22; 1 hour during securities trading time Duties: Depositing Rent Checks, managing Focus Account, paying bills associated with passive rental income.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-09-16
• S63 Uniform Securities Agent State Law Examination
  1991-07-10

Other Names

• Steve Groth