# RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 31194
- Type: SEC-registered investment adviser
- SEC file number: 801-13059
- Location: 200 VESEY ST., NEW YORK, NY, 10281
- Phone: 212-858-7000
- Latest filing: 2026-08-03
- Regulatory AUM: $310.4B
- Discretionary AUM: $235.3B
- Non-discretionary AUM: $75.1B
- Clients: 8,781
- Accounts: 511,871

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos, Other

## Officers, owners & control persons (104)

_Showing 25 of 104 people._

| Name | Role | Location |
| --- | --- | --- |
| Mary Delaney | COMPLIANCE DIRECTOR | San Francisco, CA |
| Thomas Steven Sagissor | PRESIDENT OF RBC WEALTH MANAGEMENT | — |
| John J Thurlow | CHIEF OPERATING OFFICER | — |
| Brett Lane Thorne | PRESIDENT, RBC CLEARING & CUSTODY | — |
| Robert Arthur Giegerich | PRINCIPAL FINANCIAL OFFICER | — |
| John Christopher Penn | GENERAL COUNSEL | — |
| Paul Adam Carlesimo | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | — |
| Dorje Tsering Glassman | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | — |
| Matthew Cody Lischin | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | — |
| Kristen Elizabeth Espenak | CHIEF RISK OFFICER, USA | — |
| Cindy Louise Schreiner | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | — |
| Vito Antonio Sperduto | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | — |
| Sean Walter O'Connor | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | — |
| He Jiang | US CAPITAL MARKETS PRINCIPAL OPERATIONS OFFICER | — |
| Ann Marie Senne | DIRECTOR | — |
| Thomas N Murphy | US CAPITAL MARKETS PRINCIPAL OPERATIONS OFFICER | — |
| Suzanne Marie Taylor | CHIEF COMPLIANCE OFFICER OF WM-US' REGISTERED INVESTMENT ADVISOR | — |
| TAYLOR MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | — |
| STOTTS THOMAS JOHN | SROP | — |
| WEISER IRVING | CHAIRMAN; PRESIDENT CHAIRMAN & CEO | — |
| MOEN TERRY ALAN | CROP | — |
| HOLTZ LAWRENCE CULLEN | EVP & DIRECTOR; EVP, DIRECTOR; EVP, FIXED INCOME CAPITAL MARKETS | — |
| GROSE CHARLES EDWARD | EVP, PRIVATE CLIENT GROUP | — |
| TAFT JOHN GODFREY | BOARD MEMBER; PRESIDENT & BOARD MEMBER; PRESIDENT & CEO (+6 more) | — |
| KERMEEN DEBORAH JOY | SVP, TREASURER; SVP, TREASURER & CFO | — |


## Disclosures (2,471)

_Showing 10 of 160 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2026-05-21 | regulatory | THE RESPONDENT CHARGED UNREASONABLE COMMISSIONS IN EXCESS OF 5% OF THE PRINCIPAL AMOUNT ON 89900 EQUITY TRANSACTIONS OVER A FIVE-YEAR PERIOD TOTALING APPROXIMATELY $3400000. | Final | $20K |
| 2026-02-27 | regulatory | THE CONSENT ORDER IS A RESULT OF A MULTISTATE INVESTIGATION SPEARHEADED BY THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. THE NASAA INVESTIGATION REVEALED THAT FROM MAY 16, 2020, TO MAY 16, 2025, THE FIRM CHARGED UNREASONABLE FIXED COMMISSIONS OF $95 ON CERTAIN EQUITY TRANSACTIONS FO… | Final | $20K |
| 2026-02-24 | regulatory | EXCESSIVE FEES | Final | $20K |
| 2026-02-05 | regulatory | RBC CAPITAL MARKETS, LLC CHARGED UNREASONABLE COMMISSIONS ON CERTAIN EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. | Final | $20K |
| 2026-01-21 | regulatory | FROM MAY 16, 2020 TO MAY 16, 2025, RBC CAPITAL MARKETS, LLC ALLEGEDLY CHARGED UNREASONABLE COMMISSIONS IN EXCESS OF 5% OF THE PRINCIPAL AMOUNT ON CERTAIN SMALL PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SUPERVISE TRANSACTIONS WHICH APPLIED THE MINIMUM EQUITY COMMISSION CHARGE TO ENSURE THA… | Final | $25K |
| 2026-01-15 | regulatory | RESPONDENT CHARGED UNREASONABLE COMMISSIONS ON CERTAIN LOW PRINCIPAL EQUITY TRANSACTIONS AND FAILED TO REASONABLY SUPERVISE LOW PRINCIPAL EQUITY TRANSACTIONS WHERE THE MINIMUM COMMISSION WAS IN EXCESS OF 5%. | Final | $20K |
| 2025-12-19 | regulatory | FROM MAY 16, 2020, TO MAY 16, 2025, RBC CAPITAL MARKETS, LLC, ALLEGEDLY CHARGED UNREASONABLE COMMISSIONS (IN EXCESS OF 5% OF THE PRINCIPAL AMOUNT) ON CERTAIN LOW PRINCIPAL EQUITY TRANSACTIONS. RESPONDENT DID NOT REASONABLY SUPERVISE TRANSACTIONS WHICH APPLIED THE MINIMUM EQUITY COMMISSION CHARGE TO… | Final | $25K |
| 2025-06-04 | regulatory | RBC CAPITAL MARKETS, LLC CHARGED UNREASONABLE COMMISSIONS ON CERTAIN EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENT CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. | Final | $25K |
| 2025-05-28 | regulatory | THE DIVISION, IN CONNECTION WITH A MULTISTATE TASK FOR COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, FOUND THAT RBC CHARGED UNREASONABLE COMMISSIONS TO RETAIL CUSTOMERS IN EXCESS OF FIVE PERCENT OF THE PRINCIPAL AMOUNT. | Final | $20K |
| 2024-08-14 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST RBC CAPITAL MARKETS, LLC (RBC OR RESPONDENT). IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, RESPONDENT… | Final | $45.0M |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/31194/brochure
- Similar advisers: https://search.stillhousedata.com/firm/31194/similar
- Related entities: https://search.stillhousedata.com/firm/31194/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/31194

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Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.