Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn K. Spies is a financial advisor who has been in the industry since 1999. John is currently registered with RBC Capital Markets, LLC and has previously worked for Morgan Stanley, Citigroup Global Markets Inc., Warner Group, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. John offers a range of financial services including financial planning, portfolio management for individuals and businesses, pension consulting, and educational seminars. John also provides services for public and private employee benefit plans, endowment funds, foundations, family trusts, and various capital and operating funds.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
SD
02/22/2017 - Present
RBC Capital Markets, LLC (Dakota Dunes SD)
IA
06/01/2009 - 02/23/2017
MORGAN STANLEY (SIOUX CITY IA)
IA
06/09/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SIOUX CITY IA)
IA
03/02/2001 - 06/25/2008
WARNER GROUP, INC. (SIOUX CITY IA)
NY
08/14/1999 - 03/09/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 09/13/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/07/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/22/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2003
Series 3 - National Commodity Futures Examination
BC
Issued 08/10/1999
Series 7 - General Securities Representative Examination
Active
Inactive
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
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