Phillip Slepian
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.
Phillip Slepian, who also goes by Phil Slepian, Phillip Gordon Slepian, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1984. Phillip had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2015 - August 29, 2018
RBC CAPITAL MARKETS, LLC
February 6, 2012 - November 13, 2015
UBS FINANCIAL SERVICES INC.
June 1, 2009 - February 16, 2012
MORGAN STANLEY
August 15, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 14, 2005 - August 25, 2008
CITIGROUP GLOBAL MARKETS INC.
June 17, 2003 - March 10, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 9, 2002 - May 7, 2003
NATIONAL CLEARING CORP.
May 3, 2001 - June 20, 2001
MAY, DAVIS GROUP INC.
May 9, 2000 - April 12, 2001
IMPERIAL CAPITAL, LLC
July 26, 1996 - May 5, 2000
NATIONAL CLEARING CORP.
April 1, 1996 - July 1, 1996
WOLFE & HURST BOND BROKERS INC.
December 21, 1995 - April 17, 1996
TRIPP & CO., INC.
December 7, 1994 - August 29, 1995
MESIROW FINANCIAL, INC.
March 3, 1994 - December 12, 1994
JOSEPHTHAL & CO., INC.
January 7, 1992 - March 9, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
October 20, 1988 - February 7, 1992
ADVEST, INC.
February 3, 1986 - November 3, 1988
INVEST FINANCIAL CORPORATION
October 10, 1984 - February 10, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
June 11, 1984 - October 5, 1984
FORESTERS FINANCIAL SERVICES, 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.
