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WILLIAM ROSS ALLFORD
CRD#: 1766608
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 655 W. BROADWAY
STE 1000
SAN DIEGO, CA 92101-8485
Registration History
199019952000200520102015202020252 FIRMS2001 - 2008 (6 years)2 FIRMS2008 - 2010 (2 years)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2016 (3 years)2 FIRMS2016 - Present (8 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2001 (1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 2000 (6 years)BLEHMAN BROTHERS INC. (CRD# 7506)1987 - 1993 (5 years)
Disclosure(s)
View By:
10/2/2012
Employment Separation After Allegations
12/23/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 4/28/2016

B
Minnesota 7/19/2018

B
California 4/28/2016

B
Missouri 5/11/2017

IA
California 4/28/2016

B
Nevada 5/16/2016

B
Colorado 4/28/2016

B
New Hampshire 4/28/2016

B
Connecticut 8/31/2017

B
New Jersey 4/28/2016

B
Delaware 12/21/2021

B
New York 4/28/2016

B
District of Columbia 2/14/2018

B
Ohio 2/23/2021

B
Florida 5/17/2016

B
Oregon 1/31/2017

B
Georgia 5/4/2016

B
Pennsylvania 4/28/2016

B
Hawaii 5/20/2019

B
Texas 4/28/2016

B
Idaho 4/28/2016

IA
Texas 4/28/2016

B
Iowa 11/8/2018

B
Utah 5/17/2016

B
Louisiana 4/28/2016

B
Washington 5/20/2016

B
Maine 4/28/2016

B
Wyoming 10/5/2016

B
Maryland 4/28/2016

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)
655 W. BROADWAY STE 1000, SAN DIEGO, CA 92101-8485
San Diego, CA
Registered with this firm since 4/28/2016

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
655 W. BROADWAY STE 1000, SAN DIEGO, CA 92101-8485
San Diego, CA
Registered with this firm since 4/28/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/05/2012 - 04/29/2016 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) SAN DIEGO, CA
B
10/02/2012 - 04/29/2016 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) SAN DIEGO, CA
IA
10/22/2010 - 10/10/2012 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) SAN DIEGO, CA
B
10/22/2010 - 10/10/2012 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) SAN DIEGO, CA
IA
01/01/2008 - 10/22/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN DIEGO, CA
B
01/01/2008 - 10/22/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN DIEGO, CA
B
11/02/2001 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN DIEGO, CA
IA
11/26/2001 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN DIEGO, CA
B
05/08/2000 - 11/09/2001 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
07/31/1993 - 05/16/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
11/25/1987 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.