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Detailed Report
GEORGE EMERSON OTTO
CRD#: 1597673
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 400 Spectrum Center Drive
Suite 200
Irvine, CA 92618
Registration History
199019952000200520102015202020252 FIRMS2002 - Present (22 years)BSUTRO & CO. INCORPORATED (CRD# 801)1998 - 2002 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1986 - 1998 (11 years)
License(s)

State Registrations

B
Alabama 10/4/2016
B
Michigan 1/4/2013
B
Alaska 10/22/2021
B
Montana 1/16/2024
B
Arizona 1/2/2004
B
Nevada 8/17/2022
B
California 3/9/2002
B
New Jersey 11/3/2023
IA
California 5/28/2002
B
New Mexico 1/3/2019
B
Colorado 1/2/2004
B
New York 3/9/2002
B
Connecticut 1/2/2004
B
North Carolina 4/2/2015
B
Delaware 1/3/2019
B
Ohio 1/14/2020
B
Florida 1/2/2004
B
Oregon 2/13/2019
B
Georgia 3/4/2020
B
Tennessee 1/3/2019
B
Idaho 3/9/2002
B
Texas 1/2/2004
B
Illinois 1/12/2023
IA
Texas 3/30/2017
B
Iowa 1/3/2019
B
Utah 8/30/2017
B
Kentucky 4/20/2021
B
Virginia 8/30/2018
B
Maryland 1/3/2019
B
Washington 4/16/2021
B
Massachusetts 2/23/2012
B
Wyoming 12/9/2024

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)
400 Spectrum Center Drive Suite 200, Irvine, CA 92618
TUSTIN RANCH, CA
Registered with this firm since 5/28/2002
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
400 Spectrum Center Drive Suite 200, Irvine, CA 92618
TUSTIN RANCH, CA
Registered with this firm since 3/9/2002
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/12/1998 - 03/09/2002 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
B
 12/26/1986 - 06/17/1998 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.