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Stephen John Schor

RBC Capital Markets, LLC

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About Stephen John Schor

Stephen John Schor is a financial advisor with RBC Capital Markets, LLC. Stephen has been in the industry since 1983 and is registered in multiple states. Stephen's previous experience includes working for firms such as D.A. Davidson & Co., Wells Fargo Advisors, LLC, and Prudential Securities Incorporated. Stephen offers a range of services including financial planning, portfolio management, and pension consulting.

Firm Information

Stephen Schor 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.

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financial planning services

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

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

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

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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.

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fixed fees

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

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percentage of assets

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

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Stephen Schor’s Registration & Firm History

OR

03/20/2019 - Present

RBC Capital Markets, LLC (EUGENE OR)

OR

02/03/2010 - 03/19/2019

D.A. DAVIDSON & CO. (EUGENE OR)

OR

07/01/2003 - 02/03/2010

WELLS FARGO ADVISORS, LLC (EUGENE OR)

NY

09/15/2000 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

03/02/1998 - 09/20/2000

DAIN RAUSCHER INCORPORATED (NEW YORK NY)

NA

08/24/1994 - 03/02/1998

DAIN RAUSCHER INCORPORATED

OR

06/28/1991 - 08/29/1994

U.S. BANCORP SECURITIES (PORTLAND OR)

MN

10/06/1983 - 04/30/1991

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

10/06/1983 - 12/24/1986

IDS FINANCIAL SERVICES INC. (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 05/30/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/28/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/17/1986

Series 7 - General Securities Representative Examination

BC

Issued 04/30/1984

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 10/05/1983

Series 6 - Investment Company Products/Variable Contracts 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 are no public disclosures for Stephen John Schor.
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