AdFi
JC

John Charles Gall

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Lake Oswego, ORCRD #706789Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
46 yrs
States Registered
28 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 28 states
ArizonaCaliforniaColoradoFloridaHawaiiIdahoIllinoisIndianaMassachusettsMichiganMinnesotaMontanaNebraskaNevadaNew HampshireNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaSouth DakotaTexasUtahVirginiaWashingtonWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/9/1993
Series 63
Uniform Securities Agent State Law Examination
Passed 4/25/1980
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 12/15/1984
Series 1
Registered Representative Examination
Passed 3/28/1980
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 11/16/1999
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 11/11/1999

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
2/26/2002Lake Oswego, OR
RBC CAPITAL MARKETS, LLCCurrent
3/2/1998Lake Oswego, OR
DAIN RAUSCHER INCORPORATED
12/1/19943/2/1998
PRUDENTIAL SECURITIES INCORPORATED
1/4/198912/15/1994New York, NY
DEAN WITTER REYNOLDS INC.
2/1/19841/14/1989
CONTISECURITIES, INC.
4/9/19805/30/1985

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. John Charles Gall 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.

John Charles Gall - Financial Advisor in Lake Oswego, OR | AdvisorFinder