Ethan Louis-Gerald Etheridge
Investment Adviser Representative at RBC Capital Markets, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Ethan Louis-Gerald Etheridge is an investment adviser representative with RBC Capital Markets, LLC in San Francisco, CA, where they have been registered since 2024. They have worked in the securities industry since 2023 and were previously registered with Pruco Securities, LLC. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California and Texas.
Office
Advisors at this office: 55
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Texas
- Broker:
26 states and territories
Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Massachusetts, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Oregon, Pennsylvania, South Dakota, Texas, Utah, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Pruco Securities LLCMar 2021 – Jan 2022Los Angeles, CA
- UnemployedMar 2020 – Dec 2020Providence, RI
- Penn MutualDec 2019 – Mar 2020Waltham, MA
- ClearentMay 2019 – Dec 2019Providence, RI
- Enterprise-Rent-A-CarAug 2018 – May 2019Warwick, RI
- YMCAFeb 2012 – Sep 2018Providence, RI
- The Prudential Insurance Company of AmericaJul 2021 – Jan 2022Los Angeles, CA
- Pruco Securities LLCDec 2023 – Jun 2024Los Angeles, CA
- Glendale High SchoolJan 2022 – Oct 2024Glendale, CA
- RBC Capital Markets, LLCOct 2024 – no end date reportedSan Francisco, CA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About RBC Capital Markets, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Retirement Plan Rollovers, Retirement Income Planning, Portfolio Management, Estate Planning Services, Education Funding, Company Stock Option Planning, and Tax-Exempt Municipal Bonds.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 3,804
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-13059
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 30, 2026
View full firm profileOther advisors at RBC Capital Markets, LLC
Showing 12 of 3,804 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Ethan Louis-Gerald Etheridge 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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