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John Alexander Dunn

Rbc Capital Markets, LLC

Fort Lauderdale, FL

Ft. Lauderdale, FL

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-11-01
TX RA APPROVED_RES 2017-10-31
  • FL RA
    APPROVED
    Since 2017-11-01
  • TX RA
    APPROVED_RES
    Since 2017-10-31

Branch Locations

500 East Broward Blvd Suite 2200, Fort Lauderdale, FL 33394-3000 • United States

Ft. Lauderdale, FL • 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
Morgan Stanley & Co., Incorporated Ft. Lauderdale FL 04/2007 10/2017
Morgan Stanley Smith Barney Ft. Lauderdale FL 06/2009 10/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 10/2017
Rbc Capital Markets, Llc Fort Lauderdale FL 10/2017 Present
City National Bank Fort Lauderdale FL 12/2017 Present
  • 04/2007 → 10/2017
    Morgan Stanley & Co., Incorporated
    Ft. Lauderdale, FL
  • 06/2009 → 10/2017
    Morgan Stanley Smith Barney
    Ft. Lauderdale, FL
  • 01/2015 → 10/2017
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 10/2017 → Present
    Rbc Capital Markets, Llc
    Fort Lauderdale, FL
  • 12/2017 → Present
    City National Bank
    Fort Lauderdale, FL
Previous Registrations
  • 2009-06-01 → 2017-11-01
    Morgan Stanley
    Ft. Lauderdale, FL
    Fort Lauderdale, FL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Ft. Lauderdale, FL
  • 2007-02-12 → 2007-04-02
    Morgan Stanley Dw Inc.
    Ft. Lauderdale, FL
  • 1989-04-06 → 2007-02-13
    Morgan Keegan & Company, Llc
    Ft Lauderdale, FL
    Ft. Lauderdale, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-29
S63 Uniform Securities Agent State Law Examination 1986-01-06
  • S65 Uniform Investment Adviser Law Examination
    2008-06-29
  • S63 Uniform Securities Agent State Law Examination
    1986-01-06

View on SEC IAPD

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