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Joseph Andrew Friend

Rbc Capital Markets, LLC

Raleigh, NC

Holly Springs, NC

CRD 1758590

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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
VI RA APPROVED 2026-07-29
NC RA APPROVED 2017-11-08
TX RA APPROVED 2017-11-08
  • VI RA
    APPROVED
    Since 2026-07-29
  • NC RA
    APPROVED
    Since 2017-11-08
  • TX RA
    APPROVED
    Since 2017-11-08

Branch Locations

3800 Glenwood Avenue Suite 400, Raleigh, NC 27612 • United States

Holly Springs, NC • 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
Wells Fargo Advisors Llc Raleigh NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Raleigh NC 11/2016 11/2017
Rbc Capital Markets, Llc Raleigh NC 11/2017 Present
City National Bank Raleigh NC 10/2019 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-06-21
S63 Uniform Securities Agent State Law Examination 1988-01-05
  • S65 Uniform Investment Adviser Law Examination
    1993-06-21
  • S63 Uniform Securities Agent State Law Examination
    1988-01-05
Other Names
  • Joseph A Friend

View on SEC IAPD

Nearby Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP

Nearby Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH

Nearby Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

More in Raleigh, NC

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