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STEVEN E SPIESBERGER
CRD#: 856203
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 345 CALIFORNIA STREET
SAN FRANCISCO, CA 94104-2642
Registration History
19801985199019952000200520102015202020252 FIRMS2005 - Present (19 years)BPIPER JAFFRAY & CO. (CRD# 665)1994 - 2005 (11 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1994 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1982 - 1993 (11 years)BDAVIS, SKAGGS & CO., INC. (CRD# 208)1982 - 1983 (1 year)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1979 - 1982 (2 years)BSHEARSON LOEB RHOADES INC. (CRD# 7506)1978 - 1979 (<1 year)IAPIPER JAFFRAY & CO. (CRD# 665)1998 - 2005 (7 years)
Disclosure(s)
View By:
9/1/1981
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 10/28/2005

B
Nevada 7/1/2019

B
California 10/28/2005

B
New Jersey 5/31/2012

IA
California 10/28/2005

B
New York 10/28/2005

B
Colorado 10/28/2005

B
North Carolina 10/28/2005

B
Florida 10/28/2005

B
Oklahoma 6/26/2024

B
Georgia 10/28/2005

B
Oregon 10/28/2005

B
Hawaii 10/28/2005

B
Pennsylvania 6/14/2024

B
Idaho 5/31/2012

B
Texas 10/28/2005

B
Iowa 12/11/2024

IA
Texas 2/8/2010

B
Maryland 4/20/2015

B
Virginia 5/31/2012

B
Massachusetts 10/28/2005

B
Washington 10/28/2005

B
Michigan 10/28/2005

B
Wyoming 5/31/2012

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)
345 CALIFORNIA STREET, SAN FRANCISCO, CA 94104-2642
Sausalito, CA
Registered with this firm since 10/28/2005

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
345 CALIFORNIA STREET, SAN FRANCISCO, CA 94104-2642
Sausalito, CA
Registered with this firm since 10/28/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/17/1998 - 11/09/2005 PIPER JAFFRAY & CO. (CRD#:665) SAN FRANCISCO, CA
B
06/17/1994 - 11/09/2005 PIPER JAFFRAY & CO. (CRD#:665) MINNEAPOLIS, MN
B
07/31/1993 - 06/17/1994 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
01/19/1982 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
02/16/1982 - 10/10/1983 DAVIS, SKAGGS & CO., INC. (CRD#:208)
B
06/26/1979 - 02/03/1982 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560)
B
08/25/1978 - 07/19/1979 SHEARSON LOEB RHOADES INC. (CRD#:7506)
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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.