WG
William E. Grayson
RBC CAPITAL MARKETS
San Francisco, CA
Some features on this profile are disabled
CRD#: 2847729
WG
Professional summary
William Ellison Grayson, who also goes by Bill Grayson, William E Grayson, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in San Francisco, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. William has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Grayson | William E Grayson
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.
1) Presidio Trust; not investment-related; 103 Montgomery Street P.O. Box 29052 San Francisco, CA 94129; A federal agency created to operate, maintain and transform the Presidio, a national park and former military fort in partnership with the National Parks Service. Six of the seven-member board of directors are appointed by the President of the United States.; Board Member since 05/24/2017; 10 hours per month; not during securities trading hours; The Board of Directors makes financial decisions for and on behalf of the Presidio.
2) Name: Presidio Trust
Address: 103 Mo0ntgomery Street SF CA 94129
Business Description: Federal agency managing a national park
Business is not investment related
Projected Start Date: 05/01/17
Capacity: Board of Directors *
Duties Performed: Chair, Board of Directors - provide oversight and guidance to staff and CEO
Devoted to this OBA per Month: 3
Hours Devoted to this OBA during business hours: 0
3)Name: Villa Taverna Club
Address: 29 Hotaling Place SF, CA 94111
Business Description: Private dining club
Business is not investment related
Projected Start Date: 04/01/13
Capacity: Board of Directors *
Duties Performed: President of club and chair, board of directors.
Devoted to this OBA per Month: 3 Hour
Hours Devoted to this OBA during business hours: 0
4) Name: University of Hawaii Foundation
Address: 1314 South King Street, Suite B Honolulu, HI 96814
Business Description: university foundation
Business is not investment related
Projected Start Date: 04/01/15
Capacity: Board of Directors *
Duties Performed: standard board of trustees duties in overseeing CEO and staff. Serve on investment committee but personally make no investment decisions on individual positions. Instead we rely on Cambridge Associates and the underlying managers make all investment decisions.
Devoted to this OBA per Month: 2Hour
Hours Devoted to this OBA during business hours: 0
5) Name: National Park Foundation
Address: 1500 K Street, NW, Suite 700 Washington, DC 20005
Business Description: Foundation to support the national parks
Business is not investment related
Projected Start Date: 12/20/19
Capacity: Board of Directors *
Duties Performed: Standard director role, advising as to policy, overseeing CEO and staff and serving on investment committee. I have no personal decision making authority over individual investments as an outside investment consultant advises the committee and foundation.
Devoted to this OBA per Month: 2 Hours
Hours Devoted to this OBA during business hours: 0
6) Name: Rental Property
Address: 9 Rutgers Court Rancho Mirage, CA 92270
Business Description: Rental of second home
Business is not investment related
Projected Start Date: 12/31/20
Capacity: Owner - Active
Duties Performed: Owner of one single family home rental property; normal duties of an owner/landlord.
Devoted to this OBA per Month: 1
Hours Devoted to this OBA during business hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view William Ellison Grayson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Ellison Grayson'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
July 20, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 345 California Street, San Francisco, CA 94104-2642RIA
BD
CRD#: 31194
San Francisco, CA
Current
July 20, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 345 California Street, San Francisco, CA 94104-2642RIA
BD
CRD#: 31194
San Francisco, CA
Past
March 4, 2013 - March 5, 2013
SANFORD C. BERNSTEIN & CO., LLC
RIA
CRD#: 104474
SAN FRANCISCO, CA
Past
September 17, 2009 - July 22, 2020
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
SAN FRANCISCO, CA
Past
May 27, 2009 - July 22, 2020
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
SAN FRANCISCO, CA
Past
August 26, 1999 - October 2, 2000
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
October 1, 1997 - July 28, 1999
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
February 24, 1997 - October 1, 1997
MONTGOMERY SECURITIES
BD
CRD#: 4357
SAN FRANCISCO, CA
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
Arizona(7/20/2020)
RR
California(7/20/2020)
IAR
California(7/20/2020)
RR
Colorado(7/20/2020)
RR
Connecticut(8/25/2020)
RR
Delaware(7/20/2020)
RR
District of Columbia(7/20/2020)
RR
Florida(7/20/2020)
RR
Georgia(6/21/2022)
RR
Hawaii(7/20/2020)
RR
Illinois(9/13/2021)
RR
Maryland(1/29/2021)
RR
Massachusetts(7/20/2020)
RR
Minnesota(7/20/2020)
RR
Nevada(7/20/2020)
RR
New Hampshire(7/20/2020)
RR
New Jersey(1/3/2025)
RR
New Mexico(1/10/2022)
RR
New York(7/20/2020)
RR
North Carolina(9/15/2021)
RR
Ohio(7/20/2020)
RR
Oregon(7/20/2020)
RR
Pennsylvania(7/20/2020)
RR
South Carolina(11/22/2024)
RR
Tennessee(12/5/2022)
RR
Texas(7/20/2020)
IAR
Texas(7/20/2020)
RR
Utah(11/22/2024)
RR
Vermont(11/22/2024)
RR
Virginia(7/20/2020)
RR
Washington(7/20/2020)
RR
Wyoming(7/20/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
