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JOHN MARSHALL DRAPER
CRD#: 1374668
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 111 S WACKER DRIVE
SUITE 3200
CHICAGO, IL 60606
SUITE 3200
CHICAGO, IL 60606
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Disclosures
39
Years of Experience
View By:
State Registrations
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California 11/1/2011
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Missouri 1/12/2015
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Colorado 5/7/2019
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New York 11/1/2011
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Florida 11/1/2011
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North Carolina 12/14/2022
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Georgia 11/1/2011
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Pennsylvania 11/1/2011
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Illinois 11/1/2011
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South Carolina 11/1/2011
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Illinois 11/1/2011
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Tennessee 7/11/2013
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Indiana 11/1/2011
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Texas 11/1/2011
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Kansas 1/18/2019
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Texas 2/5/2015
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Kentucky 3/27/2020
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Virginia 3/19/2020
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Michigan 11/1/2011
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Washington 8/3/2023
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Minnesota 9/14/2021
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Wisconsin 12/17/2018
SRO Registrations
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Registered with this firm since 11/1/2011
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Registered with this firm since 11/1/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/23/2008 - 11/09/2011 | CHICAGO, IL | |
B | 05/23/2008 - 11/09/2011 | CHICAGO, IL | |
IA | 09/20/2006 - 05/28/2008 | CHICAGO, IL | |
B | 06/18/1985 - 05/28/2008 | CHICAGO, IL |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.