Individual Firm
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STEPHEN SHEARMAN HALL
CRD#: 828758
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 401 N. MAIN STREET
2ND FLOOR
GREENVILLE, SC 29601
2ND FLOOR
GREENVILLE, SC 29601
View By:
12/10/2002
Customer Dispute
Settled
State Registrations
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Alabama 6/10/2009
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North Carolina 6/10/2009
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Arkansas 1/15/2013
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Oregon 4/6/2017
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California 6/10/2009
B
Pennsylvania 10/2/2013
B
Colorado 12/2/2020
B
South Carolina 6/10/2009
B
Connecticut 4/22/2020
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South Carolina 6/29/2009
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Delaware 12/2/2021
B
Tennessee 1/9/2014
B
Florida 6/10/2009
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Texas 1/2/2018
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Georgia 6/10/2009
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Texas 1/2/2018
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Maryland 1/3/2011
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Virginia 6/10/2009
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New Jersey 6/10/2009
B
Wisconsin 11/17/2023
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New York 6/10/2009
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 6/29/2009
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Registered with this firm since 6/10/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 06/22/2009 | GREENVILLE, SC | |
B | 06/01/2009 - 06/22/2009 | GREENVILLE, SC | |
IA | 05/05/1992 - 06/01/2009 | GREENVILLE, SC | |
B | 01/02/2002 - 06/01/2009 | GREENVILLE, SC | |
B | 11/06/1978 - 01/02/2002 | ATLANTA, GA | |
B | 09/26/1978 - 01/02/1979 | ||
B | 10/21/1976 - 09/26/1978 |
10/21/1976 - 09/26/1978
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.