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John F Green

Rbc Capital Markets, LLC

Alameda, CA

San Francisco, CA

CRD 2596395

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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
CA RA APPROVED 2024-07-29
  • CA RA
    APPROVED
    Since 2024-07-29

Branch Locations

Alameda, CA • United States

345 California Street, San Francisco, CA 94104-2642 • 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
Charles Schwab & Co., Inc. San Francisco CA 02/2004 01/2024
Rbc Capital Markets, Llc San Francisco CA 07/2024 Present
Unemployed Alameda CA 02/2024 06/2024
Previous Registrations
  • 2018-01-02 → 2024-01-10
    Charles Schwab & Co., Inc.
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    Westlake, TX
    Lone Tree, CO
    San Francisco, CA
    Lone Tree, CO
  • 2001-03-21 → 2003-11-13
    Charles Schwab & Co., Inc.
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-04-26
S66 Uniform Combined State Law Examination 2001-02-26
S63 Uniform Securities Agent State Law Examination 1995-03-21
  • S65 Uniform Investment Adviser Law Examination
    2018-04-26
  • S66 Uniform Combined State Law Examination
    2001-02-26
  • S63 Uniform Securities Agent State Law Examination
    1995-03-21
Other Names
  • John F Green
  • John Fred Green

View on SEC IAPD

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