Lisa A. Ball

RBC CAPITAL MARKETS

San Jose, CA

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CRD#: 1471911

Professional summary

Lisa Ann Ball, who also goes by Lisa Ball, Lisa Ann Rovegno, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in San Jose, California.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Lisa has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Ball | Lisa Ann Rovegno

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Ann Ball's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Lisa Ann Ball's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 16, 2018 - Present

RBC CAPITAL MARKETS, LLC

Office #2: 99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603

RIA

CRD#: 31194

San Jose, CA

Current

January 16, 2018 - Present

RBC CAPITAL MARKETS, LLC

Office #1: 99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603

RIA

CRD#: 31194

San Jose, CA

Past

November 21, 2014 - January 25, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN JOSE, CA

Past

November 21, 2014 - January 25, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN JOSE, CA

Past

July 11, 2008 - November 24, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LOS GATOS, CA

Past

July 11, 2008 - November 24, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LOS GATOS, CA

Past

September 6, 2002 - July 10, 2008

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SAN JOSE, CA

Past

March 9, 2002 - July 10, 2008

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SAN JOSE, CA

Past

June 21, 1995 - March 9, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

November 9, 1993 - June 19, 1995

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

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.

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

Alabama
(2/11/2020)

Arizona
(1/16/2018)

Arkansas
(8/15/2024)

California
(1/16/2018)

IAR

California
(1/16/2018)

Colorado
(1/16/2018)

Connecticut
(2/11/2020)

Delaware
(8/15/2024)

District of Columbia
(2/11/2020)

Florida
(1/16/2018)

Georgia
(2/6/2019)

Hawaii
(1/16/2018)

Idaho
(1/16/2018)

Illinois
(10/2/2023)

Indiana
(2/11/2020)

Iowa
(8/15/2024)

Louisiana
(8/15/2024)

Maine
(8/15/2024)

Maryland
(1/16/2018)

Michigan
(2/11/2020)

Minnesota
(8/15/2024)

Mississippi
(8/15/2024)

Montana
(2/11/2020)

Nevada
(3/18/2019)

New Hampshire
(8/15/2024)

New Jersey
(2/11/2020)

New Mexico
(2/11/2020)

New York
(1/16/2018)

North Carolina
(2/11/2020)

Ohio
(2/11/2020)

Oklahoma
(1/16/2018)

Oregon
(1/16/2018)

Pennsylvania
(1/16/2018)

Rhode Island
(8/15/2024)

Tennessee
(11/18/2022)

Texas
(1/16/2018)

IAR

Texas
(1/16/2018)

Utah
(2/11/2020)

Vermont
(8/15/2024)

Virginia
(1/16/2018)

Washington
(2/11/2020)

Wisconsin
(9/30/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/5/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/14/1986

National Commodity Futures Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVISORY PROGRAMS DISCLOSURE DOCUMENT (12/12/2025)

RBC CLEARING AND CUSTODY ADVISORY PROGRAMS DISCLOSURE DOCUMENT (12/12/2025)

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (12/12/2025)

RBC FINANCIAL PLANNING DISCLOSURE DOCUMENT (9/30/2025)

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	Cover Page	Report
08/27/2024	Cover Page	Report
09/14/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Lisa A. Ball

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Ann Ball's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Lisa Ann Ball's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/8/1993

Series 3

Date: 7/14/1986

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX PEARL, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

RBC CAPITAL MARKETS, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RBC CAPITAL MARKETS, LLC

TRUST BUT VERIFY

Contact information

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