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STEVEN ALAN HERZOG
CRD#: 2172876
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 750 TOWN AND COUNTRY BLVD
SUITE 325
HOUSTON, TX 77024-4576
Registration History
1995200020052010201520202025IARBC CAPITAL MARKETS, LLC (CRD# 31194)2002 - Present (23 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)1998 - Present (26 years)BDAIN RAUSCHER INCORPORATED (CRD# 7600)1998 - 1998 (<1 year)BRAUSCHER PIERCE REFSNES, INC. (CRD# 6663)1991 - 1998 (6 years)BOPPENHEIMER & CO., INC. (CRD# 630)1991 - 1991 (<1 year)
License(s)

State Registrations

B
Alabama 8/24/2000

B
New Mexico 2/16/2011

B
Arizona 3/2/1998

B
New York 3/3/1998

B
California 3/2/1998

B
North Carolina 10/30/2001

B
Colorado 3/2/1998

B
Ohio 3/2/1998

B
Delaware 12/21/2020

B
Oklahoma 8/11/2000

B
Florida 5/4/1999

B
Oregon 10/30/2024

B
Georgia 11/21/2011

B
Pennsylvania 5/16/2014

B
Illinois 11/22/2011

B
South Carolina 4/19/2002

B
Kansas 11/30/2018

B
Tennessee 6/22/2009

B
Louisiana 3/2/1998

B
Texas 3/2/1998

B
Maryland 7/11/2000

IA
Texas 2/27/2007

B
Massachusetts 12/4/1998

B
Utah 1/5/2016

B
Mississippi 8/3/2004

B
Virginia 12/7/2011

B
Missouri 3/2/1998

B
Washington 9/28/2005

B
Nebraska 3/2/1998

B
West Virginia 9/7/2016

B
Nevada 6/5/2018

B
Wyoming 6/4/2001

B
New Jersey 10/27/2003

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

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Houston, TX
Registered with this firm since 1/1/2002

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Houston, TX
Registered with this firm since 3/2/1998

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/02/1998 - 03/02/1998 DAIN RAUSCHER INCORPORATED (CRD#:7600)
B
12/13/1991 - 01/02/1998 RAUSCHER PIERCE REFSNES, INC. (CRD#:6663) DALLAS, TX
B
10/01/1991 - 12/03/1991 OPPENHEIMER & CO., INC. (CRD#:630) 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.