Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven E. Spiesberger is an Investment Advisor Representative with RBC Capital Markets, LLC. Steven has been in the industry since 1978 and has held registrations with several firms including Piper Jaffray & Co., Smith Barney Inc., Lehman Brothers Inc., Davis, Skaggs & Co., Inc., Donaldson, Lufkin & Jenrette Securities Corporation and Shearson Loeb Rhoades Inc. Steven holds a Series 7 and Series 63 license. Steven has been registered with RBC Capital Markets, LLC since October of 2005 and is currently registered to provide investment advisory services in Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Oklahoma, Oregon, Pennsylvania, Texas, Virginia, Washington and Wyoming. Steven is also registered with the state of Texas for investment advisory services. Steven's specializations include providing portfolio management services for businesses and individuals, financial planning, and selection of other advisors.
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
CA
02/08/2010 - Present
RBC Capital Markets, LLC (SAN FRANCISCO CA)
MN
06/17/1994 - 11/09/2005
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
NY
07/31/1993 - 06/17/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
01/19/1982 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/16/1982 - 10/10/1983
DAVIS, SKAGGS & CO., INC.
NA
06/26/1979 - 02/03/1982
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
NA
08/25/1978 - 07/19/1979
SHEARSON LOEB RHOADES INC.
BC
Issued 03/05/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1978
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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