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James Robert Turner

Rbc Capital Markets, LLC

Florham Park, NJ

Lake Worth, FL

Bedminster, NJ

CRD 1471801

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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
FL RA APPROVED 2023-09-11
NJ RA APPROVED 2021-09-07
TX RA APPROVED 2021-09-07
  • FL RA
    APPROVED
    Since 2023-09-11
  • NJ RA
    APPROVED
    Since 2021-09-07
  • TX RA
    APPROVED
    Since 2021-09-07

Branch Locations

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

Lake Worth, FL • United States

Bedminster, NJ • 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
Ubs Financial Services Inc. Florham Park NJ 02/2012 09/2021
Rbc Capital Markets, Llc Florham Park NJ 09/2021 Present
Previous Registrations
  • 2012-02-16 → 2021-09-23
    Ubs Financial Services Inc.
    Florham Park, NJ
  • 2009-06-01 → 2012-02-27
    Morgan Stanley
    Fairfield, NJ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Fairfield, NJ
  • 2002-06-19 → 2007-04-02
    Morgan Stanley Dw Inc.
    Fairfield, NJ
    Rockaway, NJ
    Rockaway, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-07
S63 Uniform Securities Agent State Law Examination 1986-04-07
  • S65 Uniform Investment Adviser Law Examination
    1995-09-07
  • S63 Uniform Securities Agent State Law Examination
    1986-04-07
Other Names
  • James Turner

View on SEC IAPD

Nearby Firms

WISS PRIVATE CLIENT ADVISORS, LLC
JACOBS LEVY EQUITY MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Nearby Investors

THOMAS J. BIRRITTELLA
DAVID F BOAK
Jason W Hoffman

Nearby Offices

WISS PRIVATE CLIENT ADVISORS, LLC · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ

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