PW
Paul E. Westphal
RBC CAPITAL MARKETS
Milwaukee, WI
Some features on this profile are disabled
CRD#: 1699037
PW
Professional summary
Paul Eric Westphal, CIMA® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Milwaukee, Wisconsin.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Paul has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 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) NAME AND ADDRESS OF OTHER BUSINESS: DUPLEX, 2825-27 N. PROSPECT, MILWAUKEE, WI NATURE OF ENTITY: OWN REAL ESTATE, DUPLEX ROLE IN OTHER BUSINESS: OWNER RESPONSIBILITIES IN THIS ROLE: MAINTAIN PROPERTY, OURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES TRADING HOURS; 0. (2) NAME AND ADDRESS: PONYTAIL PALS LLC 1028 E JUNEAU AVE MILWAUKEE WI 53202 NATURE OF ENTITY: CREATION AND MARKETING OF GIRLS HAIR ACCESSORY. THIS IS MY WIFE, LISA MOY'S BUSINESS ACTIVITY THAT I AM INVOLVED IN. RESPONSIBILITIES IN THIS ROLE: TO SUPPORT THE CREATION OF THIS START UP BUSINESS ENITY. PROVIDE FINANCIAL GUIDANCE AND SALES SUPPORT. HOURS DEVOTED: 10 HOURS PER WEEK, NIGHTS AND WEEKENDS. NONE DURING SECURITIES TRADING HOURS. (3) NAME OF ENTITY: Milwaukee Rotary ADDRESS: 750 N Lincoln Memorial Drive Suite 320 Milwaukee WI 53202 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Community non-profit CAPACITY: Board of Directors START DATE: 08/01/23 DUTIES: Guide President and Executive Director as we make a positive impact to our communities. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Paul Eric Westphal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Eric Westphal'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®
Experience
Current
September 27, 2018 - Present
RBC CAPITAL MARKETS, LLC
Office #2: Newport Square Building 10528 N. Port Washington Road, Mequon, WI 53092RIA
BD
CRD#: 31194
Milwaukee, WI
Current
September 27, 2018 - Present
RBC CAPITAL MARKETS, LLC
Office #1: Newport Square Building 10528 N. Port Washington Road, Mequon, WI 53092RIA
BD
CRD#: 31194
Mequon, WI
Past
May 28, 2010 - September 28, 2018
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
MEQUON, WI
Past
May 28, 2010 - September 28, 2018
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MEQUON, WI
Past
August 12, 2006 - June 10, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MILWAUKEE, WI
Past
August 12, 2006 - June 10, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MILWAUKEE, WI
Past
September 29, 2005 - August 12, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
MILWAUKEE, WI
Past
October 1, 1998 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
MILWAUKEE, WI
Past
July 31, 1993 - October 9, 1998
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 9, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 19, 1988 - October 27, 1988
AMERICAN BEACON PARTNERS, INC.
BD
CRD#: 15791
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
Arizona(9/27/2018)
RR
California(9/27/2018)
RR
Colorado(9/27/2018)
RR
Connecticut(8/25/2023)
RR
Delaware(5/19/2025)
RR
District of Columbia(1/10/2025)
RR
Florida(9/27/2018)
RR
Georgia(9/27/2018)
RR
Hawaii(5/29/2025)
RR
Idaho(4/25/2025)
RR
Illinois(9/27/2018)
RR
Indiana(3/13/2023)
RR
Iowa(5/29/2025)
RR
Kansas(9/26/2019)
RR
Kentucky(5/29/2025)
RR
Maine(4/25/2025)
RR
Maryland(5/19/2025)
RR
Massachusetts(5/29/2025)
RR
Michigan(9/27/2018)
RR
Minnesota(9/27/2018)
RR
Mississippi(5/29/2025)
RR
Missouri(7/19/2023)
RR
Nebraska(7/9/2024)
RR
Nevada(9/27/2018)
RR
New Mexico(9/27/2018)
RR
New York(9/27/2018)
RR
North Carolina(1/10/2022)
RR
Ohio(1/3/2019)
RR
Oregon(9/27/2018)
RR
Pennsylvania(1/21/2021)
RR
South Carolina(9/27/2018)
RR
Tennessee(12/4/2020)
RR
Texas(9/27/2018)
IAR
Texas(9/27/2018)
RR
Virginia(9/27/2018)
RR
Washington(9/27/2018)
RR
Wisconsin(9/27/2018)
IAR
Wisconsin(9/27/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/28/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
