Kathryn K. Kerrigan

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CRD#: 1056303

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.

Kathryn K Kerrigan, who also goes by Kathryn A Kizer, Kathryn Ann Kizer Ms, Kathryn Ann Kizer, Kathy Ann Kizer, Kathy Kizer, Kathryn Ann Russell, Kathryn K Russell, Kathryn Kizer Russell, Kathryn Russell, was a registered financial professional .

Kathryn is a previously registered financial professional and started their career in finance in 1982. Kathryn had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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 24, 2012 - October 19, 2021

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

OMAHA, NE

Past

September 14, 2012 - October 19, 2021

RBC CAPITAL MARKETS, LLC

CRD#: 31194

OMAHA, NE

Past

January 4, 2010 - September 18, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OMAHA, NE

Past

December 23, 2009 - September 18, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OMAHA, NE

Past

November 7, 2008 - July 17, 2009

FAIRWAY ASSET MANAGEMENT, LLC

RIA

CRD#: 146636

OMAHA, NE

Past

September 6, 2006 - March 11, 2008

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

OMAHA, NE

Past

May 1, 2006 - March 11, 2008

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

OMAHA, NE

Past

November 7, 2003 - August 18, 2004

TRANSMARKET GROUP L.L.C.

CRD#: 15657

CHICAGO, IL

Past

May 21, 2003 - November 19, 2003

ROCK ISLAND SECURITIES, INC.

CRD#: 30782

CHICAGO, IL

Past

February 7, 2000 - July 19, 2001

PFA SECURITY ASSET MANAGEMENT, INC.

CRD#: 101161

NEW CUMBERLAND, PA

Past

October 16, 1992 - October 28, 1997

ICON DISTRIBUTORS, INC.

CRD#: 28568

GREENWOOD VILLAGE, CO

Past

February 25, 1992 - October 5, 1992

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

May 21, 1987 - October 22, 1991

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

September 22, 1982 - November 30, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

August 4, 1982 - August 27, 1982

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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 66

Date: 9/1/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/15/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/1991

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/24/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 6

Date: 4/24/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/30/1991

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

RBC FINANCIAL PLANNING DISCLOSURE DOCUMENT (9/30/2025)

RBC CLEARING AND CUSTODY ADVISORY PROGRAMS DISCLOSURE DOCUMENT (9/30/2025)

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (9/30/2025)

ADVISORY PROGRAMS 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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Firm Stability Insights

Kathryn K. Kerrigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FAIRWAY ASSET MANAGEMENT, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

TRANSMARKET GROUP L.L.C.

ROCK ISLAND SECURITIES, INC.

PFA SECURITY ASSET MANAGEMENT, INC.

ICON DISTRIBUTORS, INC.

CETERA FINANCIAL SPECIALISTS LLC

BNY MELLON SECURITIES CORPORATION

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2006

Series 65

Date: 9/15/1992

Series 63

Date: 4/29/1987

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1991

Series 3

Date: 8/24/1991

Series 6

Date: 4/24/1987

Series 24

Date: 9/30/1991

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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