William Ernest Stockum

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

Authority	Category	Status	Date
TX	RA	APPROVED	2017-10-10

TX RA
APPROVED

Since 2017-10-10

Branch Locations

3230 Camp Bowie Blvd Suite 750, Fort Worth, TX 76107-5769 • United States

Fort Worth, TX • 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

Organization	City	State	From	To
Hilltop Securities Inc.	Dallas	TX	12/2008	10/2017
Rbc Capital Markets, Llc	Dallas	TX	10/2017	Present

12/2008 → 10/2017

Hilltop Securities Inc.

Dallas, TX
10/2017 → Present

Rbc Capital Markets, Llc

Dallas, TX

Previous Registrations

2008-12-19 → 2017-11-01

Hilltop Securities Inc.

Dallas, TX
2007-04-02 → 2009-01-06

Morgan Stanley & Co. Llc

Dallas, TX
2005-02-23 → 2007-04-02

Morgan Stanley Dw Inc.

Dallas, TX

Dallas, TX
1996-01-05 → 2005-03-11

Ubs Financial Services Inc.

Addison, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-09-24
S63	Uniform Securities Agent State Law Examination	1986-07-22

S66 Uniform Combined State Law Examination

2007-09-24
S63 Uniform Securities Agent State Law Examination

1986-07-22

Other Names

Bill Stockum

View on SEC IAPD