John A. Utter

RBC CAPITAL MARKETS

MINNEAPOLIS, MN 55401

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CRD#: 1970140

Professional summary

John Andrew Utter is a registered financial professional currently at RBC CAPITAL MARKETS, LLC located in Minneapolis, Minnesota.

John is registered as a RR (Registered Representative) and started their career in finance in 1989. John has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Andrew Utter's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 14, 2010 - Present

RBC CAPITAL MARKETS, LLC

Office #1: 250 Nicollet Mall Suite 1550 16th Floor, Minneapolis, MN, 55401

RIA

CRD#: 31194

MINNEAPOLIS, MN

Past

January 2, 2009 - April 14, 2010

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

MINNEAPOLIS, MN

Past

November 22, 2006 - January 2, 2009

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

April 11, 2006 - January 24, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 21, 2001 - March 16, 2006

NORTH AMERICAN CAPITAL MARKETS, INC.

CRD#: 104079

MINNEAPOLIS, MN

Past

September 30, 1998 - July 13, 2000

ALLY SECURITIES LLC

CRD#: 25988

DETROIT, MI

Past

March 2, 1998 - September 9, 1998

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

April 11, 1994 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

July 22, 1992 - April 25, 1994

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 16, 1990 - July 30, 1992

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

September 13, 1989 - April 3, 1990

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

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.

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

Alabama
(2/14/2014)

Alaska
(2/14/2014)

Arizona
(2/14/2014)

Arkansas
(2/14/2014)

California
(2/14/2014)

Colorado
(2/14/2014)

Connecticut
(2/14/2014)

Delaware
(2/14/2014)

District of Columbia
(2/14/2014)

Florida
(2/14/2014)

Georgia
(2/14/2014)

Hawaii
(2/14/2014)

Idaho
(2/14/2014)

Illinois
(11/1/2012)

Indiana
(2/14/2014)

Iowa
(2/14/2014)

Kansas
(2/14/2014)

Kentucky
(2/14/2014)

Louisiana
(2/14/2014)

Maine
(2/14/2014)

Maryland
(2/14/2014)

Massachusetts
(2/14/2014)

Michigan
(2/14/2014)

Minnesota
(4/14/2010)

Mississippi
(2/14/2014)

Missouri
(2/14/2014)

Montana
(2/14/2014)

Nebraska
(2/14/2014)

Nevada
(2/14/2014)

New Hampshire
(2/14/2014)

New Jersey
(2/14/2014)

New Mexico
(2/14/2014)

New York
(11/1/2012)

North Carolina
(2/17/2014)

North Dakota
(2/14/2014)

Ohio
(2/14/2014)

Oklahoma
(2/14/2014)

Oregon
(2/14/2014)

Pennsylvania
(2/14/2014)

Puerto Rico
(2/14/2014)

Rhode Island
(2/14/2014)

South Carolina
(2/14/2014)

South Dakota
(2/14/2014)

Tennessee
(2/14/2014)

Texas
(2/14/2014)

Utah
(2/14/2014)

Vermont
(2/14/2014)

Virgin Islands
(2/14/2014)

Virginia
(2/14/2014)

Washington
(2/14/2014)

West Virginia
(2/14/2014)

Wisconsin
(2/14/2014)

Wyoming
(2/14/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/14/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/17/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/12/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/12/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/4/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 7/19/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RBC FINANCIAL PLANNING DISCLOSURE DOCUMENT (9/30/2025)

RBC CLEARING AND CUSTODY ADVISORY PROGRAMS DISCLOSURE DOCUMENT (9/30/2025)

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (9/30/2025)

ADVISORY PROGRAMS DISCLOSURE DOCUMENT (9/30/2025)

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	Cover Page	Report
08/27/2024	Cover Page	Report
09/14/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

John A. Utter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Andrew Utter's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

RIVERSOURCE DISTRIBUTORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

NORTH AMERICAN CAPITAL MARKETS, INC.

ALLY SECURITIES LLC

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

DAIN RAUSCHER INCORPORATED

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/1989

SIE

Date: 10/1/2018

Series 3

Date: 10/17/2014

Series 7

Date: 7/12/1990

Series 6

Date: 9/12/1989

Series 24

Date: 12/4/2007

Series 8

Date: 7/19/1993

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX PEARL, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

RBC CAPITAL MARKETS, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RBC CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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