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John Phillip Friesen Jr

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

San Antonio, TXCRD #5976769Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
15 yrs
States Registered
33 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

John Phillip Friesen has worked in the securities industry since 2011. They are registered to provide investment advisory services in 33 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 33 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoDistrict of ColumbiaFloridaGeorgiaKansasLouisianaMarylandMassachusettsMichiganMinnesotaMontanaNebraskaNevadaNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaSouth CarolinaTennesseeTexasUtahVirginiaWashingtonWest VirginiaWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 11/23/2011
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/26/2011
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 3/5/2022
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 2/7/2022

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
8/30/2016San Antonio, TX
RBC CAPITAL MARKETS, LLCCurrent
8/30/2016San Antonio, TX
MORGAN STANLEY
11/25/20119/2/2016San Antonio, TX

Official records & sources

Data as of June 28, 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 Phillip Friesen Jr 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 Phillip Friesen Jr - Financial Advisor in San Antonio, TX | AdvisorFinder