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OTHO FRANCIS EVANS JR
OTHO FRANCIS EVANS
CRD#: 1199304
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 2 POST OAK CENTRAL
1980 POST OAK BLVD, SUITE 1630 & 1525
HOUSTON, TX 77056-3859
Registration History
1985199019952000200520102015202020252 FIRMS1990 - 1992 (1 year)3 FIRMS2002 - 2002 (<1 year)IARBC CAPITAL MARKETS, LLC (CRD# 31194)2014 - Present (10 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)2012 - Present (12 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2009 - 2012 (2 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (1 year)BSECURITY CHURCH FINANCE, INC. (CRD# 11224)2003 - 2008 (5 years)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)2001 - 2001 (<1 year)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2000 - 2001 (<1 year)BD.E. FREY & COMPANY, INC. (CRD# 23595)1993 - 2000 (7 years)BPOWELL & SATTERFIELD, INC. (CRD# 7030)1992 - 1992 (<1 year)BLOVETT UNDERWOOD NEUHAUS & WEB... (CRD# 22540)1989 - 1990 (<1 year)BUNDERWOOD, NEUHAUS & CO., INCO... (CRD# 839)1987 - 1989 (2 years)BBUCHANAN & CO., INC. (CRD# 7113)1983 - 1987 (3 years)
Disclosure(s)
View By:
3/6/2023
Customer Dispute
Denied
License(s)

State Registrations

B
California 2/7/2023

B
New York 3/20/2012

B
Colorado 4/10/2017

B
Pennsylvania 6/19/2014

B
Delaware 1/5/2023

B
Tennessee 11/13/2024

B
Florida 1/2/2015

B
Texas 3/20/2012

B
Georgia 2/15/2023

IA
Texas 8/29/2014

B
Kansas 4/18/2017

B
Washington 3/20/2012

B
New Mexico 8/25/2022

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
2 POST OAK CENTRAL 1980 POST OAK BLVD, SUITE 1630 & 1525, HOUSTON, TX 77056-3859
Registered with this firm since 8/29/2014

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
2 POST OAK CENTRAL 1980 POST OAK BLVD, SUITE 1630 & 1525, HOUSTON, TX 77056-3859
Registered with this firm since 3/20/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/01/2009 - 03/28/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) HOUSTON, TX
B
06/18/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) HOUSTON, TX
B
04/24/2003 - 06/17/2008 SECURITY CHURCH FINANCE, INC. (CRD#:11224) HOUSTON, TX
IA
09/23/2002 - 10/03/2002 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) HOUSTON, TX
B
09/19/2002 - 10/03/2002 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) FORT WAYNE, IN
B
09/19/2002 - 10/03/2002 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580) FORT WAYNE, IN
B
07/19/2001 - 10/02/2001 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) PHOENIX, AZ
B
10/04/2000 - 02/13/2001 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
01/29/1993 - 10/26/2000 D.E. FREY & COMPANY, INC. (CRD#:23595) DENVER, CO
B
01/15/1992 - 12/23/1992 POWELL & SATTERFIELD, INC. (CRD#:7030) LITTLE ROCK, AR
B
02/13/1990 - 01/22/1992 WESTCAP GOVERNMENT SECURITIES, INC. (CRD#:19645)
B
02/01/1990 - 01/22/1992 WESTCAP SECURITIES, INC. (CRD#:7301) HOUSTON, TX
B
11/13/1989 - 02/10/1990 LOVETT UNDERWOOD NEUHAUS & WEBB, INC. (CRD#:22540)
B
07/13/1987 - 11/13/1989 UNDERWOOD, NEUHAUS & CO., INCORPORATED (CRD#:839) HOUSTON, TX
B
10/19/1983 - 07/29/1987 BUCHANAN & CO., INC. (CRD#:7113)
FINRA expelled the firm on 06/07/1989
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Broker
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.