Roger P. Matles

RBC CAPITAL MARKETS | Senior Vice President–Wealth Management

PURCHASE, NY 10577

Some features on this profile are disabled

CRD#: 1066271

Professional summary

Roger Philip Matles is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Purchase, New York.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Roger has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Roger Philip Matles's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Roger Philip Matles's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Education

psychology, sociology

1971 - 1975

Experience

Current

July 10, 2025 - Present

RBC CAPITAL MARKETS, LLC

Office #1: 4 Manhattanville Road Suite 104, Purchase, NY 10577

RIA

CRD#: 31194

PURCHASE, NY

Current

July 10, 2025 - Present

RBC CAPITAL MARKETS, LLC

Office #1: 4 Manhattanville Road Suite 104, Purchase, NY 10577

RIA

CRD#: 31194

PURCHASE, NY

Past

January 3, 2020 - July 21, 2025

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

Purchase, NY

Past

May 21, 2010 - July 21, 2025

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Purchase, NY

Past

June 1, 2009 - June 16, 2010

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PURCHASE, NY

Past

July 24, 1986 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 8, 1984 - August 4, 1986

MOORE & SCHLEY, CAMERON & CO.

CRD#: 6917

Past

September 24, 1982 - July 27, 1984

E. G. FRANCES CO., INC.

CRD#: 7797

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(7/10/2025)

California
(7/10/2025)

Colorado
(7/10/2025)

Connecticut
(7/10/2025)

Delaware
(7/10/2025)

District of Columbia
(7/10/2025)

Florida
(7/10/2025)

Georgia
(7/10/2025)

Illinois
(7/10/2025)

Indiana
(7/10/2025)

Kentucky
(7/10/2025)

Louisiana
(7/10/2025)

Maine
(7/10/2025)

Maryland
(7/10/2025)

Massachusetts
(7/10/2025)

Michigan
(7/10/2025)

Minnesota
(7/10/2025)

Nevada
(7/10/2025)

New Hampshire
(7/10/2025)

New Jersey
(7/10/2025)

New Mexico
(10/15/2025)

New York
(7/10/2025)

IAR

New York
(7/10/2025)

North Carolina
(7/10/2025)

Ohio
(7/10/2025)

Oklahoma
(7/10/2025)

Oregon
(7/10/2025)

Pennsylvania
(7/10/2025)

Rhode Island
(7/10/2025)

South Carolina
(7/10/2025)

Tennessee
(7/10/2025)

Texas
(7/10/2025)

IAR

Texas
(7/10/2025)

Utah
(7/10/2025)

Vermont
(7/10/2025)

Virginia
(7/10/2025)

Washington
(7/10/2025)

West Virginia
(7/10/2025)

Wyoming
(7/10/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/10/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/1982

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: 9/18/1982

General Securities Representative Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Anita Srivastava

MORGAN STANLEY

IAR

Paramus, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roger P. Matles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Philip Matles's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Roger Philip Matles's CRS (Customer Relationship Summary).

Certified licenses

Education

Experience

RBC CAPITAL MARKETS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MOORE & SCHLEY, CAMERON & CO.

E. G. FRANCES CO., INC.

Primary Firm SEC Registration

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/1992

Series 63

Date: 11/12/1982

SIE

Date: 10/1/2018

Series 7

Date: 9/18/1982

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX PEARL, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

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

Contact information

Similar Advisors