linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Gordon Richard Nearing

RBC Capital Markets, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Gordon? Claim Your Profile

About Gordon Richard Nearing

Gordon Richard Nearing is a financial advisor currently registered with RBC Capital Markets, LLC. Gordon has been in the financial industry since 1979. Gordon holds licenses for both securities and investment advising. Gordon is a CERTIFIED FINANCIAL PLANNER™ professional. Gordon has experience providing financial advice to individuals, businesses, and institutions. Gordon also holds a Power of Attorney over the financial affairs of Gordon's mother.

Firm Information

Gordon Nearing is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Gordon Nearing’s Registration & Firm History

FL

10/18/2018 - Present

RBC Capital Markets, LLC (Stuart FL)

FL

04/17/2009 - 10/22/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STUART FL)

FL

03/13/2000 - 04/17/2009

WACHOVIA SECURITIES, LLC (STUART FL)

MD

09/12/1994 - 03/29/2000

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

NY

02/12/1988 - 09/08/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NA

02/15/1988 - 04/07/1988

SHEARSON LEHMAN HUTTON INC.

NA

08/01/1979 - 02/15/1988

E. F. HUTTON & COMPANY INC

Not sure if Gordon Richard Nearing is right for you?

Licenses & Designations

IA

Issued 02/05/1993

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/30/1979

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/21/1979

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Gordon Richard Nearing. Review regulatory record here.
Not sure if Gordon Richard Nearing is right for you?