SG
Samuel A. Gilliland
RBC CAPITAL MARKETS
Greenwich, CT
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CRD#: 1222075
SG
Professional summary
Samuel Alexander Gilliland JR is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Greenwich, Connecticut.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Samuel has worked at 9 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.
1.) Connecticut Audobon Society, 314 Unquowa Rd.,Fairfield,CT 06824 203-259-0416 www.ctaudubon.org. Start Date=10/15/15,6 hours monthly, 1 hour spent during market hours. Not investment related. I am on the financial committee and monitor and report on organization's endowment portfolio manage by WellsFargo Advisors. No compensation received; this is a business relationship associated with my volunteer work with this organization. 2) NAME OF ENTITY: Mountain Grove Cemetery ADDRESS: 2675 North Avenue, Bridgeport, CT 06604 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: not for profit cemetery CAPACITY: Board of Directors * START DATE: 10.27.22 DUTIES: My opinions about memorial activities PER MONTH: 1; SECURITIES HOURS: 0 NAME OF ENTITY: Greenwich Hockey Club ADDRESS: 15 EAST PUTNAM AVE, GREENWICH, CT 06830 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: 501c7 recreational club CAPACITY: Board of Directors * START DATE: 10.31.22 DUTIES: scheduling, club rules, membership development and retention. PER MONTH: 2; SECURITIES HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Alexander Gilliland JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel Alexander Gilliland JR'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
March 4, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 1 Landmark Square 12th Floor, Stamford, CT 06901-2502RIA
BD
CRD#: 31194
Greenwich, CT
Current
March 4, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1 Landmark Square 12th Floor, Stamford, CT 06901-2502RIA
BD
CRD#: 31194
STAMFORD, CT
Past
March 11, 2011 - March 8, 2022
DOMINARI SECURITIES LLC
RIA
CRD#: 18975
GREENWICH, CT
Past
March 11, 2011 - March 8, 2022
DOMINARI SECURITIES LLC
BD
CRD#: 18975
GREENWICH, CT
Past
June 1, 2009 - December 22, 2010
MORGAN STANLEY
RIA
CRD#: 149777
GREENWICH, CT
Past
June 1, 2009 - December 22, 2010
MORGAN STANLEY
BD
CRD#: 149777
GREENWICH, CT
Past
April 4, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
GREENWICH, CT
Past
April 1, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GREENWICH, CT
Past
January 13, 2001 - April 4, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
January 2, 1992 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
December 17, 1985 - January 8, 1992
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
December 21, 1983 - December 23, 1985
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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
California(3/4/2022)
RR
Colorado(3/4/2022)
RR
Connecticut(3/4/2022)
IAR
Connecticut(3/4/2022)
RR
Florida(3/4/2022)
RR
Illinois(5/9/2022)
RR
Indiana(3/4/2022)
RR
Maine(3/4/2022)
RR
Massachusetts(3/7/2022)
RR
Minnesota(3/9/2022)
RR
New Jersey(3/4/2022)
RR
New York(3/4/2022)
RR
Oregon(3/4/2022)
RR
Pennsylvania(3/4/2022)
RR
Vermont(11/29/2022)
RR
Washington(3/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
