DC
Douglas W. Cornell
RBC CAPITAL MARKETS
NEW YORK, NY 10281
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CRD#: 1421311
DC
Professional summary
Douglas William Cornell is a registered financial professional currently at RBC CAPITAL MARKETS, LLC located in New York, New York.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1985. Douglas has worked at 10 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Douglas William Cornell'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
April 18, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 200 Vesey St., New York, NY 10281Office #2: 1 Jericho Plaza Suite 106, Jericho, NY 11753RIA
BD
CRD#: 31194
NEW YORK, NY
Past
October 19, 1999 - May 15, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
October 21, 1998 - October 15, 1999
J.J. KENNY DRAKE, INC.
BD
CRD#: 7118
NEW YORK, NY
Past
October 10, 1996 - September 30, 1998
MINT BROKERS
BD
CRD#: 13681
NEW YORK, NY
Past
October 10, 1996 - October 29, 1998
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
Past
January 19, 1993 - October 4, 1996
TULLETT & TOKYO SECURITIES, INC.
BD
CRD#: 19595
NEW YORK, NY
Past
April 23, 1992 - January 18, 1993
MINT BROKERS
BD
CRD#: 13681
NEW YORK, NY
Past
June 7, 1990 - March 7, 1992
J.J. KENNY DRAKE, INC.
BD
CRD#: 7118
NEW YORK, NY
Past
March 2, 1990 - May 21, 1990
R.W. SMITH & ASSOCIATES, LLC
BD
CRD#: 16605
JERSEY CITY, NJ
Past
January 22, 1990 - March 17, 1990
BAYBANKS BROKERAGE SERVICES, INC.
BD
CRD#: 17536
Past
March 27, 1989 - August 5, 1989
R.W. SMITH & ASSOCIATES, LLC
BD
CRD#: 16605
JERSEY CITY, NJ
Past
April 19, 1988 - April 24, 1989
HARRY DOWNS & COMPANY, INC.
BD
CRD#: 7019
Past
October 22, 1985 - October 5, 1987
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
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.
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
Arkansas(10/3/2025)
RR
California(4/21/2023)
RR
Colorado(10/3/2025)
RR
Connecticut(4/21/2023)
RR
Delaware(4/21/2023)
RR
District of Columbia(10/3/2025)
RR
Florida(4/21/2023)
RR
Georgia(10/3/2025)
RR
Illinois(4/21/2023)
RR
Indiana(10/3/2025)
RR
Iowa(10/3/2025)
RR
Kansas(10/3/2025)
RR
Maryland(10/3/2025)
RR
Massachusetts(4/21/2023)
RR
Michigan(10/3/2025)
RR
Minnesota(4/21/2023)
RR
Missouri(10/3/2025)
RR
Nevada(10/3/2025)
RR
New Hampshire(10/3/2025)
RR
New Jersey(4/21/2023)
RR
New Mexico(10/3/2025)
RR
New York(4/18/2023)
RR
North Carolina(10/3/2025)
RR
Ohio(4/21/2023)
RR
Pennsylvania(4/21/2023)
RR
Puerto Rico(4/21/2023)
RR
Rhode Island(10/3/2025)
RR
Tennessee(4/21/2023)
RR
Texas(4/21/2023)
RR
Virginia(10/3/2025)
RR
Washington(4/21/2023)
RR
Wisconsin(4/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/18/2023
Municipal Securities Representative ExaminationGeneral 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.
