SB
Shayne W. Beecher
RBC CAPITAL MARKETS | SVP Financial Advisor, Senior Portfolio Manager
Lancaster, PA
CRD#: 4247234
SB
Professional summary
Shayne William Beecher, who also goes by Shayne W Beecher, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Lancaster, Pennsylvania.
Shayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Shayne has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Philanthropic services
Trading individual securities
Financial planning
Insurance
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
Are you a "fiduciary"?
Yes
Aliases
Shayne W Beecher
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) MANHEIM TOWNSHIP FOOTBALL ASSOCIATION; ADDRESS: PO BOX 5101 LANCASTER, PA 17606; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT PARENT VOLUNTEER BOOSTER CLUB; CAPACITY: BOARD OF DIRECTORS; START DATE: 01/23/2019; DUTIES: PRESIDENT OF THE BOARD, GUIDE STRATEGIC DECISIONS AND ORGANIZE VOLUNTEER TEAMS FOR OPERATIONAL ACTIVITIES ASSOCIATED WITH FUNDRAISING FOR THE NON-PROFIT TO PROVIDE RESOURCES TO COACHES AND STUDENT ATHLETES OF MANHEIM TOWNSHIP HIGH SCHOOL; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 01; 2) Name of Entity: Pennsylvania State University Football Non-Investment related Address of Entity: 201 Hastings Road, State College, PA 16801 Nature of OBA: College Football Position/Title/Relationship: Other; Volunteer to teach financial and business literacy to student athletes Projected start date: 06/12/23 Time Devoted: 2 hours; 1 hour during securities trading hours Duties: Educate on the topics of ENTREPRENEURSHIP HOW TO GENERATE REVENUE THAT IS PROFITABLE SCHOLASTIC TIMELINES CEPA RESOURCES 7 WAYS TO SELL A COMPANY VALUE ACCELERATION PROCESS -WEALTH GAP -PROFIT GAP -VALUE GAP HOW TO MAKE REV. PROFITABLE WITH GROWTH. 3 -PHASES OF A BUSINESS -HOW TO BUILD A TEAM ACCOUNTABILITY: GUY IN THE MIRROR DISCIPLINE: CREATING GOOD FINANCIAL HABITS. Financial Literacy / Wealth Education: LIQUIDITY MANAGEMENT LIABILITY MANAGEMENT - EXPENSES, DEBT RETIREMENT - FUNDING - OWNER ONLY 401K - SIMPLE 401 (K) - ROTH INSURANCE: LIFE, DISABILITY, LIABILITY WILL, POA, DIRECTIVES, ESTATE PLANNING, TRUST PLANNING GIFTING DURING LIFETIME CHARITY FAMILY INVESTING/INVESTMENTS BUSINESS OWNERS - INTEREST VS SUCCESSION
CRS (Client Relationship Summary) - RIA
Click below to view Shayne William Beecher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shayne William Beecher'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
December 4, 2008 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 2101 Oregon Pike, Lancaster, PA 17601-4604RIA
BD
CRD#: 31194
Lancaster, PA
Current
December 4, 2008 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2101 Oregon Pike, Lancaster, PA 17601-4604RIA
BD
CRD#: 31194
Lancaster, PA
Past
April 2, 2007 - December 5, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
LANCASTER, PA
Past
April 2, 2007 - December 5, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
LANCASTER, PA
Past
April 18, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
LANCASTER, PA
Past
March 20, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
LANCASTER, PA
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(12/4/2008)
RR
Arkansas(9/6/2017)
RR
California(12/4/2008)
RR
Colorado(12/4/2008)
RR
Connecticut(12/4/2008)
RR
Delaware(12/4/2008)
RR
District of Columbia(10/30/2025)
RR
Florida(12/4/2008)
RR
Georgia(7/22/2010)
RR
Hawaii(6/30/2025)
RR
Idaho(12/4/2008)
RR
Illinois(11/12/2024)
RR
Indiana(12/4/2008)
RR
Maine(12/7/2020)
RR
Maryland(12/4/2008)
RR
Massachusetts(9/17/2020)
RR
Michigan(12/4/2008)
RR
Minnesota(7/26/2021)
RR
Missouri(10/25/2016)
RR
Montana(12/4/2008)
RR
New Hampshire(11/18/2024)
RR
New Jersey(12/4/2008)
RR
New Mexico(2/17/2011)
RR
New York(12/4/2008)
RR
North Carolina(1/4/2011)
RR
Ohio(1/20/2021)
RR
Oregon(3/20/2009)
RR
Pennsylvania(12/4/2008)
IAR
Pennsylvania(12/8/2008)
RR
South Carolina(1/4/2011)
RR
Texas(12/4/2008)
IAR
Texas(12/4/2008)
RR
Vermont(12/4/2008)
RR
Virginia(12/4/2008)
RR
Washington(1/4/2017)
RR
West Virginia(9/13/2019)
RR
Wisconsin(7/17/2024)
RR
Wyoming(5/25/2011)
Exams
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.
Company Information
RBC CAPITAL MARKETS, LLC
SVP Financial Advisor, Senior Portfolio ManagerCRD#: 31194Lancaster, PATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
