Ward D. Ring

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CRD#: 706876

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.

Ward Dashiell Ring JR was a registered financial professional .

Ward is a previously registered financial professional and started their career in finance in 1980. Ward had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 51 and Series 24 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 19, 2006 - February 19, 2016

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MINNEAPOLIS, MN

Past

September 19, 2006 - February 19, 2016

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

Past

October 26, 2005 - September 22, 2006

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

September 16, 2004 - May 26, 2005

STANTON INVESTMENT SERVICES, INC.

RIA

CRD#: 29462

PLYMOUTH, MN

Past

April 3, 2002 - May 26, 2005

STANTON INVESTMENT SERVICES, INC.

CRD#: 29462

PLYMOUTH, MN

Past

December 11, 2000 - April 8, 2002

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

MINNEAPOLIS, MN

Past

March 2, 1998 - August 30, 2000

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 11, 1996 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

March 7, 1996 - July 18, 1996

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

January 22, 1993 - December 31, 1994

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 6, 1989 - July 9, 1992

MARQUETTE FINANCIAL SERVICES, INC.

CRD#: 17109

Past

February 12, 1986 - November 11, 1992

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

January 28, 1985 - January 22, 1986

CONSOLIDATED RESOURCES, INC.

CRD#: 13747

Past

February 23, 1981 - September 12, 1983

IRG SECURITIES, INC.

CRD#: 4182

Past

November 7, 1980 - September 27, 1985

THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY

CRD#: 2797

Past

October 20, 1980 - March 14, 1990

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

April 10, 1980 - March 9, 1981

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 9/15/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/25/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/19/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/30/1993

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/3/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/5/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/1994

General Securities Principal Examination

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

ADVISORY PROGRAMS DISCLOSURE DOCUMENT (12/12/2025)

RBC CLEARING AND CUSTODY ADVISORY PROGRAMS DISCLOSURE DOCUMENT (12/12/2025)

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (12/12/2025)

RBC FINANCIAL PLANNING 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

Ward D. Ring

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

PIPER SANDLER & CO.

STANTON INVESTMENT SERVICES, INC.

STANTON INVESTMENT SERVICES, INC.

MARQUETTE FINANCIAL GROUP, INC.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

CETERA INVESTMENT SERVICES LLC

WOODBURY FINANCIAL SERVICES, INC.

MARQUETTE FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

CONSOLIDATED RESOURCES, INC.

IRG SECURITIES, INC.

THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY

EQUITABLE ADVISORS, LLC

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/15/2004

Series 63

Date: 4/25/1980

SIE

Date: 2/19/2016

Series 7

Date: 12/30/1993

Series 1

Date: 4/3/1980

Series 51

Date: 10/5/2004

Series 24

Date: 4/21/1994

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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