OE
Otho F. Evans
RBC CAPITAL MARKETS
Houston, TX 77056-3859
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CRD#: 1199304
OE
Professional summary
Otho Francis Evans JR, who also goes by Otho Francis Evans, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Houston, Texas.
Otho is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Otho has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Otho Francis Evans
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
NAME OF ENTITY: Mirror Lake POA;
ADDRESS: 6630 Cypresswood Dr., Suite #100 Spring, TX 77379;
NOT INVESTMENT RELATED;
BUSINESS DESCRIPTION: Property Owner's Association (POA);
CAPACITY: Officer;
START DATE: 02/09/2021;
DUTIES: Authorizing the management company to send out letters to homeowners asking them to mow their lawn or trim their shrubs;
HOURS DEVOTED PER MONTH: 30 minutes every other month;
HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None;
CRS (Client Relationship Summary) - RIA
Click below to view Otho Francis Evans JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Otho Francis Evans JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 29, 2014 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859RIA
BD
CRD#: 31194
Houston, TX
Current
March 20, 2012 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859RIA
BD
CRD#: 31194
Houston, TX
Past
June 1, 2009 - March 28, 2012
MORGAN STANLEY
BD
CRD#: 149777
HOUSTON, TX
Past
June 18, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
HOUSTON, TX
Past
April 24, 2003 - June 17, 2008
SECURITY CHURCH FINANCE, INC.
BD
CRD#: 11224
HOUSTON, TX
Past
September 23, 2002 - October 3, 2002
OSAIC FA, INC.
RIA
CRD#: 3978
HOUSTON, TX
Past
September 19, 2002 - October 3, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 19, 2002 - October 3, 2002
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
July 19, 2001 - October 2, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
October 4, 2000 - February 13, 2001
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
January 29, 1993 - October 26, 2000
D.E. FREY & COMPANY, INC.
BD
CRD#: 23595
DENVER, CO
Past
January 15, 1992 - December 23, 1992
POWELL & SATTERFIELD, INC.
BD
CRD#: 7030
LITTLE ROCK, AR
Past
February 13, 1990 - January 22, 1992
WESTCAP GOVERNMENT SECURITIES, INC.
BD
CRD#: 19645
Past
February 1, 1990 - January 22, 1992
WESTCAP SECURITIES, L.P.
BD
CRD#: 7301
HOUSTON, TX
Past
November 13, 1989 - February 10, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
BD
CRD#: 22540
Past
July 13, 1987 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BD
CRD#: 839
HOUSTON, TX
Past
October 19, 1983 - July 29, 1987
JHM, INC.
BD
CRD#: 7113
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(2/7/2023)
RR
Colorado(4/10/2017)
RR
Delaware(1/5/2023)
RR
Florida(1/2/2015)
RR
Georgia(2/15/2023)
RR
Kansas(4/18/2017)
RR
New Mexico(8/25/2022)
RR
New York(3/20/2012)
RR
Pennsylvania(6/19/2014)
RR
Tennessee(11/13/2024)
RR
Texas(3/20/2012)
IAR
Texas(8/29/2014)
RR
Washington(3/20/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
