Colin Soyer
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.
Colin Soyer, who also goes by Colin Van Soyer, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1985. Colin had worked at 14 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 4, Series 10, Series 9 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2021 - February 19, 2026
RBC CAPITAL MARKETS, LLC
June 29, 2021 - October 28, 2021
SG AMERICAS SECURITIES, LLC
April 10, 2018 - February 22, 2021
HSBC SECURITIES (USA) INC.
September 10, 2014 - August 11, 2016
DEUTSCHE BANK SECURITIES INC.
June 5, 2013 - August 22, 2014
CITIGROUP GLOBAL MARKETS INC.
November 4, 1999 - June 13, 2011
PERSHING LLC
February 25, 1993 - October 17, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - September 15, 1999
CITICORP INVESTMENT SERVICES
April 15, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
January 27, 1988 - February 6, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 1988 - January 26, 1988
GREENTREE SECURITIES CORP.
January 16, 1986 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
November 1, 1985 - February 24, 1986
ALLIED CAPITAL GROUP, INC.
July 30, 1985 - November 1, 1985
NORBAY 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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 | 511,871 |
| AUM (Assets Under Management) | $ 310,428,968,904 |
Disclosures
| Regulatory Event | 367 |
| 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.
