Keith A. Rothman
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.
Keith Alan Rothman was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1986. Keith had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2018 - November 18, 2021
RBC CAPITAL MARKETS, LLC
September 6, 2018 - November 18, 2021
RBC CAPITAL MARKETS, LLC
August 16, 2016 - September 12, 2018
TRUIST ADVISORY SERVICES, INC.
November 9, 2011 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
November 2, 2011 - September 12, 2018
TRUIST INVESTMENT SERVICES, INC.
February 26, 2003 - November 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2002 - November 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 2, 1999 - September 11, 2002
UBS FINANCIAL SERVICES INC.
July 28, 1999 - September 11, 2002
UBS FINANCIAL SERVICES INC.
December 6, 1993 - July 27, 1999
MORGAN STANLEY DW INC.
June 11, 1990 - December 16, 1993
BARNETT INVESTMENTS, INC.
September 7, 1988 - April 26, 1990
LEHMAN BROTHERS INC.
April 7, 1987 - August 5, 1988
BNY MELLON SECURITIES CORPORATION
October 22, 1986 - January 29, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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.
