• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ALAN RAY POCHTER
CRD#: 2516968
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 1901 AVENUE OF THE STARS
SUITE 1400
CENTURY CITY, CA 90067-6089
Registration History
1995200020052010201520202025IARBC CAPITAL MARKETS, LLC (CRD# 31194)2011 - Present (13 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)2002 - Present (22 years)BSUTRO & CO. INCORPORATED (CRD# 801)1995 - 2002 (6 years)BBARABAN SECURITIES, INC. (CRD# 7659)1994 - 1995 (<1 year)
Disclosure(s)
View By:
9/17/2014
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 2/1/2011

B
Nevada 3/9/2002

B
California 3/9/2002

B
New Jersey 10/9/2009

IA
California 10/3/2011

B
New York 3/9/2002

B
Colorado 3/9/2002

B
Oregon 7/1/2004

B
Delaware 11/8/2022

B
South Carolina 11/18/2020

B
Florida 5/1/2014

B
Texas 11/30/2005

B
Idaho 8/9/2022

IA
Texas 2/5/2015

B
Illinois 10/4/2021

B
Washington 3/9/2002

B
Louisiana 2/14/2011

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)
1901 AVENUE OF THE STARS SUITE 1400, CENTURY CITY, CA 90067-6089
Sherman Oaks, CA
Registered with this firm since 10/3/2011

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
1901 AVENUE OF THE STARS SUITE 1400, CENTURY CITY, CA 90067-6089
Sherman Oaks, CA
Registered with this firm since 3/9/2002

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/13/1995 - 03/09/2002 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
B
12/19/1994 - 04/26/1995 BARABAN SECURITIES, INC. (CRD#:7659) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
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.