KB
Kristin A. Braska
RBC CAPITAL MARKETS
MADISON, WI 53703
Some features on this profile are disabled
CRD#: 1904440
KB
Professional summary
Kristin Anne Braska, who also goes by Kristin A Wiebe, Kristin Anne Wiebe, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Madison, Wisconsin.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Kristin has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristin A Wiebe | Kristin Anne Wiebe
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: Steeplechase Condominium Association Non-Investment related ADDRESS: Steeplechase Drive Waunakee, WI 53597 Nature of OBA: Condominium Association Position/Title/Relationship: Committee/Council Member (not associated with the Board of Directors) Start Date: 07/27/22 Time Devoted: 0.25 0 time during securities trading hours Duties: Auditing spending, sitting in on investment committee meetings. We discuss the various CD investments owned by the association. In some cases the treasurer will recommend buying or selling and asking the group for opinions
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Anne Braska's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristin Anne Braska'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®
NoneExperience
Current
March 29, 2021 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 10 E. Doty Street, Ste 1000, Madison, WI 53703RIA
BD
CRD#: 31194
MADISON, WI
Current
March 29, 2021 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 10 E. Doty Street, Ste 1000, Madison, WI 53703RIA
BD
CRD#: 31194
MADISON, WI
Past
June 18, 2019 - September 30, 2020
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Middleton, WI
Past
June 18, 2019 - September 30, 2020
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Middleton, WI
Past
February 14, 2018 - October 2, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
MADISON, WI
Past
February 14, 2018 - October 2, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
MADISON, WI
Past
March 4, 2013 - February 16, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
MADISON, WI
Past
March 4, 2013 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
MADISON, WI
Past
June 1, 2009 - February 16, 2012
MORGAN STANLEY
RIA
CRD#: 149777
MADISON, WI
Past
June 1, 2009 - February 16, 2012
MORGAN STANLEY
BD
CRD#: 149777
MADISON, WI
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
MADISON, WI
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
MADISON, WI
Past
June 13, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MADISON, WI
Past
June 9, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
MADISON, WI
Past
August 17, 2005 - July 26, 2006
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
MADISON, WI
Past
July 1, 1994 - October 2, 1996
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
MILWAUKEE, WI
Past
January 27, 1993 - July 1, 1994
VALLEY SECURITIES, INC.
BD
CRD#: 17345
APPLETON, WI
Past
January 24, 1989 - February 20, 1992
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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(3/29/2021)
RR
Colorado(3/29/2021)
RR
Florida(3/29/2021)
RR
Illinois(3/29/2021)
RR
Iowa(3/29/2021)
RR
Michigan(3/29/2021)
RR
Minnesota(3/29/2021)
RR
Montana(3/29/2021)
RR
Texas(3/29/2021)
IAR
Texas(3/29/2021)
RR
Wisconsin(3/29/2021)
IAR
Wisconsin(3/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
