Jeffrey C. Warkenthien
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.
Jeffrey C Warkenthien, who also goes by Jeff Warkenthien, Jeffrey Curtis Warkenthien, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1983. Jeffrey had worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2021 - May 11, 2023
RBC CAPITAL MARKETS, LLC
February 3, 2021 - May 11, 2023
RBC CAPITAL MARKETS, LLC
March 4, 2019 - October 12, 2020
TRANSAMERICA CAPITAL, LLC
August 11, 2014 - January 17, 2019
PRUCO SECURITIES, LLC.
May 25, 2007 - August 6, 2012
PRINCIPAL SECURITIES, INC.
May 24, 2006 - May 3, 2007
PACIFIC SELECT DISTRIBUTORS, LLC
November 16, 2005 - May 25, 2006
KESTRA INVESTMENT SERVICES, LLC
March 14, 2003 - November 19, 2003
BROOKLIGHT PLACE SECURITIES, INC.
November 27, 2000 - April 30, 2001
SCUDDER WEISEL CAPITAL, LLC
September 20, 1999 - November 30, 2000
THE LEADERS GROUP, INC.
April 28, 1997 - December 31, 1998
OGILVIE SECURITY ADVISORS CORPORATION
October 9, 1987 - January 10, 1997
METROPOLITAN LIFE INSURANCE COMPANY
October 5, 1987 - January 10, 1997
MSI FINANCIAL SERVICES, INC.
August 18, 1986 - July 13, 1987
UBS FINANCIAL SERVICES INC.
August 24, 1983 - August 25, 1986
FIRST JERSEY SECURITIES, 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
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.
