Individual Firm
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JOHN RAYMOND HERSHEY III
CRD#: 1413783
IA
B
RBC CAPITAL MARKETS, LLCCRD#: 31194 40 SOUTH POTOMAC STREET
SUITE 300
HAGERSTOWN, MD 21740-5757
SUITE 300
HAGERSTOWN, MD 21740-5757
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4/13/2009
Customer Dispute
Denied
8/22/2002
Customer Dispute
Denied
State Registrations
B
Alabama 4/30/2019
B
New Hampshire 3/13/2009
B
Arizona 3/13/2009
B
New Mexico 11/27/2024
B
California 3/13/2009
B
New York 3/13/2009
B
Colorado 3/13/2009
B
North Carolina 3/13/2009
B
Connecticut 11/25/2020
B
Ohio 3/13/2009
B
Delaware 3/13/2009
B
Pennsylvania 3/13/2009
B
District of Columbia 3/13/2009
B
Puerto Rico 12/8/2023
B
Florida 3/13/2009
B
South Carolina 3/13/2009
B
Georgia 11/12/2010
B
South Dakota 3/5/2025
B
Illinois 3/13/2009
B
Tennessee 3/9/2021
B
Indiana 11/19/2019
B
Texas 3/13/2009
B
Kentucky 7/8/2014
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Texas 6/28/2016
B
Louisiana 3/13/2009
B
Vermont 11/27/2024
B
Maryland 3/13/2009
B
Virginia 3/13/2009
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Maryland 3/13/2009
B
Washington 8/29/2023
B
Massachusetts 3/13/2009
B
West Virginia 3/13/2009
B
Michigan 6/17/2024
B
Wisconsin 3/8/2023
B
Minnesota 1/9/2012
B
Wyoming 3/13/2009
B
Missouri 3/9/2021
SRO Registrations
B
B
B
B
B
B
B
B
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B
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B
B
B
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IA
Registered with this firm since 3/13/2009
B
Registered with this firm since 3/13/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/08/2001 - 03/13/2009 | HAGERSTOWN, MD | |
B | 09/24/1985 - 03/13/2009 | HAGERSTOWN, MD |
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B
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.