Ben S. Lieberman
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.
Ben S Lieberman, who also goes by Ben S Liberman, Ben Lieberman, was a registered financial professional .
Ben is a previously registered financial professional and started their career in finance in 1988. Ben had worked at 14 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2011 - September 9, 2014
RBC CAPITAL MARKETS, LLC
December 17, 2009 - May 18, 2011
COHEN & COMPANY SECURITIES, LLC
May 14, 2009 - December 18, 2009
MIZUHO SECURITIES USA LLC
October 23, 2008 - May 22, 2009
PIPER SANDLER & CO.
September 22, 2008 - November 5, 2008
BARCLAYS CAPITAL INC.
November 15, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
September 7, 2004 - January 5, 2005
PALI CAPITAL, INC.
January 29, 2001 - May 1, 2001
JPMSI
May 9, 2000 - June 11, 2003
J.P. MORGAN SECURITIES INC.
March 13, 1996 - May 1, 2000
NOMURA SECURITIES INTERNATIONAL, INC.
July 28, 1994 - March 28, 1996
UBS SECURITIES LLC
June 12, 1992 - June 6, 1994
JPMSI
January 24, 1990 - February 20, 1992
PRUDENTIAL EQUITY GROUP, LLC
February 3, 1989 - December 5, 1989
FINANCIAL SQUARE PARTNERS
June 3, 1988 - February 4, 1989
TP ICAP GLOBAL MARKETS AMERICAS 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.
