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John Oscar Fogarty

Rbc Capital Markets, LLC

La Canada, CA

Los Angeles, CA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-14
CA RA APPROVED 2026-01-08
  • TX RA
    APPROVED_RES
    Since 2026-01-14
  • CA RA
    APPROVED
    Since 2026-01-08

Branch Locations

La Canada, CA • United States

555 S. Flower Street Suite 810, Los Angeles, CA 90071 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Los Angeles CA 01/2009 01/2026
Rbc Capital Markets, Llc Los Angeles CA 01/2026 Present
City National Bank Los Angeles CA 04/2026 Present
Previous Registrations
  • 2009-01-30 → 2026-01-20
    Ubs Financial Services Inc.
    Los Angeles, CA
    Pasadena, CA
  • 2007-04-02 → 2009-02-03
    Morgan Stanley & Co. Llc
    Los Angeles, CA
  • 2002-01-15 → 2007-04-02
    Morgan Stanley Dw Inc.
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-01-15
S63 Uniform Securities Agent State Law Examination 1992-12-22
  • S65 Uniform Investment Adviser Law Examination
    1993-01-15
  • S63 Uniform Securities Agent State Law Examination
    1992-12-22
Designations
Other Names
  • John O Fogarty

View on SEC IAPD

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