Fred D. Hancock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Fred D Hancock III, who also goes by Fred Downing Hancock III, Fred Downing Hancock, Trey Hancock, Troy Hancock III, Fred D Hancock, Fred Hancock, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1991. Fred had worked at 17 firms and has passed the Series 63, Series 65, Series 22TO, Series 6TO, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2024 - October 21, 2025
RBC CAPITAL MARKETS, LLC
May 20, 2024 - May 31, 2024
EDWARD JONES
March 11, 2022 - November 7, 2023
FORESIDE FUND SERVICES, LLC
May 7, 2018 - December 31, 2020
ABERDEEN FUND DISTRIBUTORS, LLC
February 17, 2017 - April 20, 2018
WINTRUST INVESTMENTS LLC
February 17, 2017 - April 20, 2018
WINTRUST INVESTMENTS LLC
October 22, 2015 - February 2, 2016
FORESIDE FUND SERVICES, LLC
July 18, 2011 - April 22, 2015
WINDHAVEN INVESTMENT MANAGEMENT, INC.
April 13, 2011 - June 30, 2011
SECURITY DISTRIBUTORS
March 24, 2003 - January 5, 2011
FIDELITY DISTRIBUTORS COMPANY LLC
November 8, 2002 - February 19, 2003
AMG DISTRIBUTORS, INC.
December 21, 1999 - July 11, 2002
MORGAN STANLEY DW INC.
December 24, 1997 - June 9, 1999
INVESCO CAPITAL MARKETS, INC.
January 21, 1997 - December 3, 1997
PACIFIC SELECT DISTRIBUTORS, LLC
March 19, 1996 - November 11, 1996
RELATED EQUITIES CORPORATION
December 7, 1991 - February 9, 1996
NUVEEN SECURITIES, LLC
May 16, 1991 - March 7, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 16, 1991 - March 7, 1992
SIGNATOR INVESTORS, INC.
January 4, 1991 - March 14, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 22TO
Date: 11/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 11/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
Contact information
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.
