Shirley M. Zambaldi
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.
Shirley Marie Zambaldi, who also goes by Shirley Marie Gilmore, Sara Marie Zambaldi, was a registered financial professional .
Shirley is a previously registered financial professional and started their career in finance in 1982. Shirley had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2024 - June 11, 2025
RBC CAPITAL MARKETS, LLC
September 16, 2022 - September 19, 2022
FIDELITY BROKERAGE SERVICES LLC
June 28, 2021 - August 25, 2022
WELLS FARGO CLEARING SERVICES, LLC
June 28, 2021 - August 25, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 17, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 17, 2020
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
March 11, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 9, 2002 - March 20, 2002
RBC CAPITAL MARKETS, LLC
March 16, 1998 - March 9, 2002
SUTRO & CO. INCORPORATED
August 12, 1997 - February 5, 1998
STOCKS 4 LESS, INC.
June 26, 1997 - February 5, 1998
NATIONAL CLEARING CORP.
March 1, 1995 - June 10, 1997
JACK WHITE & COMPANY, INC.
June 24, 1982 - September 26, 1994
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 5/31/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
Contact information
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.
