AdFi
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David John Evans

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Greenwood Village, COCRD #817715Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
50 yrs
States Registered
18 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 18 states
ArizonaCaliforniaColoradoFloridaIdahoKansasMinnesotaMississippiMontanaNew YorkOregonSouth CarolinaTennesseeTexasWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 2/28/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 8/13/1985
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
PC
AMEX Put and Call Exam
Passed 5/31/1977
Series 7
General Securities Representative Examination
Passed 1/17/1976

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
9/14/2012Greenwood Village, CO
RBC CAPITAL MARKETS, LLCCurrent
9/14/2012Denver, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
9/11/20089/18/2012Greenwood Village, CO
WACHOVIA SECURITIES, LLC
1/19/20019/12/2008Greenwood Village, CO

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David John Evans has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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