John Stephens, financial advisor Greenville SC
93 score

John Stephens

CRD Number: 1136398
Current Firm: Rbc Capital Markets, LLC

John Stephens (CRD# 1136398) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Greenville, SC and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Rbc Capital Markets, LLC Greenville, SC Jun 2009 - Current 7
Morgan Stanley Smith Barney Greenville, SC Jun 2009 - Jun 2009 < 1
Citigroup Global Markets Inc. Greenville, SC Jan 2002 - Jun 2009 7
The Robinson-humphrey Company, LLC Greenville, SC Apr 1990 - Oct 2007 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1983
S65 NASAA Investment Advisors Law Examination Oct 1991
Contact Info for John H. Stephens
Phone Number: 212-858-7000
Firm Website: https://www.rbccm.com
Registered State(s):
  • SC
By the Numbers
  • Total Assets Under Management
    76,274
    MILLIONS
  • Total Number of Accounts
    192,243
    ACCOUNTS
  • Average Account Value
    $396,757
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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