John Garlock
John Garlock is a registered investment advisor at RBC Capital Markets, LLC, based in Omaha, NE, with 45 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
12910 Pierce St., Suite 300, Omaha, NE, 68144-1106
Get directionsHistory
Regulatory History (1)
Customer Dispute
June 2002Other Business Activities
John is a passive owner of Garlock Real Estate LLC since 2007 and spends no time on it. He is also the chairman of the board of directors for North Star Foundation, dedicating minimal time to it.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Dain Rauscher IncorporatedBroker
Kirkpatrick, Pettis, Smith, Polian INC.Broker
Painewebber IncorporatedBroker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Painewebber IncorporatedBroker
State Registrations37 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.