AdFi
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John Harper Garlock

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Omaha, NECRD #720671Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
46 yrs
States Registered
37 states
Exams Passed
10

Registrations & licenses

Registration type
Dual-registered
Registered in 37 states
ArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaIllinoisIndianaIowaKansasMarylandMassachusettsMichiganMinnesotaMissouriMontanaNebraskaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaSouth CarolinaSouth DakotaTennesseeTexasVermontVirginiaWashingtonWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 3/25/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 12/10/1980
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 5/28/1997
Series 15
Foreign Currency Options Examination
Passed 1/11/1984
Series 5
Interest Rate Options Examination
Passed 3/10/1982
Series 7
General Securities Representative Examination
Passed 12/20/1980
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 8/17/1984

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
3/25/1999Omaha, NE
RBC CAPITAL MARKETS, LLCCurrent
3/2/1998Omaha, NE
DAIN RAUSCHER INCORPORATED
5/8/19953/2/1998
KIRKPATRICK, PETTIS, SMITH, POLIAN INC.
6/30/19885/12/1995Omaha, NE
PAINEWEBBER INCORPORATED
5/6/19857/11/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
9/24/19845/17/1985
PAINEWEBBER INCORPORATED
12/29/19809/21/1984

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 Harper Garlock 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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