Ian Joseph Stock

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

• 11/2016 → 12/2019
  Lyrical Partners
  New York, NY
• 12/2016 → 12/2019
  Ultimus Fund Solutions
  Cincinnati, OH
• 03/2016 → 10/2016
  Unemployed
  Newport Beach, CA
• 04/2020 → 04/2022
  Patrick Capital Markets, Llc
  Saint Louis, MO
• 01/2020 → 03/2020
  Unemployed
  Newport Beach, CA
• 05/2022 → 10/2025
  Jpmorgan Chase Bank, Na
  Irvine, CA
• 05/2022 → 10/2025
  Jpmorgan Securities Llc
  Irvine, CA
• 10/2025 → Present
  Rbc Capital Markets, Llc
  Newport Beach, CA
• 11/2025 → Present
  City National Bank
  Newport Beach, CA

Previous Registrations

• 2022-08-10 → 2025-10-15
  J.P. Morgan Securities Llc
  Irvine, CA
  Newport Beach, CA
• 2007-08-06 → 2015-11-05
  Blackrock Investment Management, Llc
  Princeton, NJ
  Newport Beach, CA

Other Businesses

1) Q SCIENCES; NON-INVESTMENT RELATED; 365 GARDEN GROVE PARKWAY, SUITE 200, PLEASANT GROVE, UT 84062; HEALTH & WEALTHNESS PRODUCTS; AMBSSADOR; STARTED 5/11/2021; 0 HRS/MONTH DURING TRADING HRS; DUTIES INCLUDE REFERRING PEOPLE TO THE COMPANY AND ITS PODUCTS. (2) Name of Entity: Q Sciences Address: 1881 w. traverse pkwy, suite @ lehi utah 84043 Investment/Not Investment Related: No Business Description: Other Start Date: May 11, 2021 Capacity: Other Duties: Signed up to buy the vitamins for cheaper prices. I never sold one product. never any business activity done. Hours Devoted Per Month: 0 - 4 Hours Hours Devoted During Securities Hours Per Month: 0 - 4 Hours

Exams

• S66 Uniform Combined State Law Examination
  2007-08-03

Other Names

• Ian Joseph Stock