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Detailed Report
DAVID OCTAVIO SPINAR
DAVID OCTAVIO DE LA FUENTE
CRD#: 2789529
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 8800 Firethorn Lane
Suite 200
LINCOLN, NE 68520
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BSECURITIES AMERICA, INC. (CRD# 10205)1996 - 2007 (10 years)IASECURITIES AMERICA ADVISORS, INC. (CRD# 110518)2003 - 2007 (4 years)
Disclosure(s)
View By:
11/22/2010
Customer Dispute
Settled
11/22/2006
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Arizona 11/20/2009
IA
Nebraska 11/25/2009
B
Arkansas 7/5/2023
B
Nevada 11/28/2011
B
California 11/20/2009
B
New Mexico 4/10/2024
B
Colorado 1/19/2010
B
New York 2/3/2016
B
District of Columbia 1/13/2016
B
North Carolina 1/19/2010
B
Florida 3/16/2020
B
North Dakota 10/24/2017
B
Georgia 10/17/2017
B
Ohio 5/7/2024
B
Idaho 10/11/2019
B
Oregon 12/3/2009
B
Illinois 11/20/2009
B
Pennsylvania 1/10/2024
B
Iowa 1/31/2012
B
South Dakota 11/14/2017
B
Kansas 1/5/2010
B
Tennessee 4/10/2019
B
Louisiana 12/4/2009
B
Texas 11/20/2009
B
Massachusetts 11/16/2017
IA
Texas 2/5/2015
B
Michigan 7/19/2021
B
Utah 7/23/2019
B
Minnesota 11/20/2009
B
Virginia 3/18/2024
B
Mississippi 10/24/2017
B
Washington 5/7/2018
B
Missouri 12/10/2009
B
Wisconsin 9/6/2022
B
Nebraska 11/20/2009

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)
8800 Firethorn Lane Suite 200, LINCOLN, NE 68520
LINCOLN, NE
Registered with this firm since 11/25/2009
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
8800 Firethorn Lane Suite 200, LINCOLN, NE 68520
LINCOLN, NE
Registered with this firm since 11/20/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/2008 - 11/23/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) LINCOLN, NE
B
 01/01/2008 - 11/23/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) LINCOLN, NE
B
 08/29/2007 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LINCOLN, NE
IA
 09/27/2007 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LINCOLN, NE
IA
 07/23/2003 - 08/28/2007 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) OMAHA, NE
B
 09/03/1996 - 08/28/2007 SECURITIES AMERICA, INC. (CRD#:10205) OMAHA, NE
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.