• 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.
JOHN PHILLIP FRIESEN JR
JOHN PHILIP FRIESEN JR., JOHN PHILLIP FRIESEN JR., JOHN PHILIP FRIESEN JR, JOHN PHILLIP FRIESEN JR. JR.
CRD#: 5976769
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 303 PEARL PARKWAY
SUITE 380
SAN ANTONIO, TX 78215-1285
Registration History
201220142016201820202022202420262 FIRMS2011 - 2016 (4 years)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 3/3/2017

B
New Mexico 9/16/2022

B
Alaska 1/20/2021

B
New York 9/16/2022

B
Arizona 8/30/2016

B
North Carolina 1/3/2024

B
Arkansas 8/30/2016

B
Ohio 1/18/2023

B
California 8/30/2016

B
Oklahoma 8/30/2016

B
Colorado 8/30/2016

B
Oregon 8/30/2016

B
District of Columbia 3/22/2024

B
South Carolina 8/30/2016

B
Florida 8/30/2016

B
Tennessee 9/2/2016

B
Georgia 5/5/2020

B
Texas 8/30/2016

B
Louisiana 8/30/2016

IA
Texas 8/30/2016

B
Maryland 9/2/2016

B
Utah 2/21/2018

B
Massachusetts 8/30/2016

B
Virginia 8/30/2016

B
Michigan 5/4/2021

B
Washington 8/30/2016

B
Minnesota 12/1/2021

B
West Virginia 10/7/2020

B
Montana 8/30/2016

B
Wyoming 8/30/2016

B
Nebraska 12/1/2021

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)
303 PEARL PARKWAY SUITE 380, SAN ANTONIO, TX 78215-1285
San Antonio, TX
Registered with this firm since 8/30/2016

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
303 PEARL PARKWAY SUITE 380, SAN ANTONIO, TX 78215-1285
San Antonio, TX
Registered with this firm since 8/30/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/25/2011 - 09/02/2016 MORGAN STANLEY (CRD#:149777) SAN ANTONIO, TX
B
10/27/2011 - 09/02/2016 MORGAN STANLEY (CRD#:149777) SAN ANTONIO, TX
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.