Elizabeth H. Allmond
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.
Elizabeth Himes Allmond, who also goes by Liz Allmond, Liz Lynn, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1988. Elizabeth had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2006 - May 24, 2012
RBC CAPITAL MARKETS, LLC
October 2, 2006 - May 24, 2012
RBC CAPITAL MARKETS, LLC
May 27, 2004 - June 2, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 2004 - June 2, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2002 - October 6, 2003
VALIC FINANCIAL ADVISORS, INC.
April 29, 2002 - October 6, 2003
VALIC FINANCIAL ADVISORS, INC.
August 31, 2001 - April 30, 2002
LPL FINANCIAL LLC
January 28, 2000 - September 6, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 1999 - January 10, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 7, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
January 16, 1997 - July 8, 1998
MORGAN STANLEY DW INC.
July 9, 1993 - November 7, 1996
CUNA BROKERAGE SERVICES, INC.
November 15, 1988 - July 12, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 15, 1988 - July 12, 1989
PRUCO SECURITIES, 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.
