TS
Teresa R. Soppet
RBC CAPITAL MARKETS
Palos Heights, IL 60463
Some features on this profile are disabled
CRD#: 1137104
TS
Professional summary
Teresa Rose Soppet, who also goes by Terri Kibort, Teresa Kilbort, Teresa Kibort Soppet, Terri Rose Soppet, Terri Soppet, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Palos Heights, Illinois.
Teresa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Teresa has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Terri Kibort | Teresa Kilbort | Teresa Kibort Soppet | Terri Rose Soppet | Terri Soppet
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.
WOMEN EMPLOYED; ADDRESS: 65 EAST WACKER PLACE CHICAGO, IL 60601; BUSINESS DESCRIPTION: NOT FOR PROFIT WOMEN ADVOCACY - TO IMPROVE THE ECONOMIC STATUS OF WOMEN AND REMOVE BARRIERS; NOT INVESTMENT RELATED; START DATE: 11/01/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: DEVELOP FUND RAISING STRATEGIES; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
CRS (Client Relationship Summary) - RIA
Click below to view Teresa Rose Soppet's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Teresa Rose Soppet's 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®
NoneExperience
Current
January 6, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 7420 West College Drive Suite 200, Palos Heights, IL 60463RIA
BD
CRD#: 31194
Palos Heights, IL
Current
January 6, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 7420 West College Drive Suite 200, Palos Heights, IL 60463RIA
BD
CRD#: 31194
Palos Heights, IL
Past
November 12, 2007 - January 16, 2009
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
CHICAGO, IL
Past
April 15, 2003 - November 13, 2007
OPPENHEIMER ASSET MANAGEMENT
RIA
CRD#: 105559
NEW YORK, NY
Past
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
CHICAGO, IL
Past
January 3, 2003 - January 16, 2009
OPPENHEIMER & CO. INC.
BD
CRD#: 249
CHICAGO, IL
Past
August 9, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
RIA
CRD#: 630
CHICAGO, IL
Past
March 27, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
April 26, 1995 - March 18, 1998
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
January 28, 1995 - May 11, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 14, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
July 14, 1992 - October 23, 1992
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
October 14, 1991 - February 19, 1992
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 14, 1991 - February 19, 1992
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
December 3, 1990 - September 11, 1991
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
May 26, 1983 - May 21, 1990
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
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.RR
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
RR
Alaska(10/21/2025)
RR
Arizona(3/29/2012)
RR
California(1/6/2009)
RR
Colorado(5/4/2021)
RR
Delaware(6/8/2017)
RR
District of Columbia(7/9/2019)
RR
Florida(1/6/2009)
RR
Georgia(12/16/2022)
RR
Idaho(10/1/2021)
RR
Illinois(1/6/2009)
IAR
Illinois(1/6/2009)
RR
Indiana(8/12/2015)
RR
Iowa(1/27/2016)
RR
Kansas(10/21/2025)
RR
Louisiana(10/21/2025)
RR
Maine(10/21/2025)
RR
Maryland(6/8/2017)
RR
Massachusetts(9/6/2012)
RR
Michigan(1/4/2013)
RR
Minnesota(6/8/2017)
RR
Mississippi(1/24/2018)
RR
Missouri(10/21/2025)
RR
Nevada(9/8/2022)
RR
New York(1/6/2009)
RR
North Carolina(6/2/2022)
RR
Ohio(5/3/2011)
RR
Oregon(6/8/2017)
RR
Pennsylvania(1/6/2009)
RR
South Carolina(6/8/2017)
RR
Texas(12/15/2011)
IAR
Texas(2/5/2015)
RR
Utah(6/11/2025)
RR
Virginia(4/24/2013)
RR
Washington(1/6/2009)
RR
West Virginia(10/21/2025)
RR
Wisconsin(6/8/2017)
RR
Wyoming(5/30/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
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
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.
