MM
Michael C. Merback
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CRD#: 2174360
MM
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.
Michael Cabot Merback, who also goes by Michael C Merback, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael C Merback
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) NATRONA COUNTY PUBLIC LIBRARY FOUNDATION BOARD; ADDRESS: 307 EAST 2ND STREET CASPER, WYOMING 82601; BUSINESS DESCRIPTION: NOT FOR PROFIT SECURING FUNDS AND RESOURCES FOR LIBRARY CAPITAL IMPROVEMENT; NOT INVESTMENT RELATED; START DATE: 07/15/2010; CAPACITY: BOARD OF DIRECTORS; DUTIES: MONTHLY MEETINGS TO DISCUSS FUNDRAISING OPPORTUNITIES & REVIEW CASH FLOW FOR EXISTING PROGRAMS, QUARTERLY REVIEW OF INVESTMENT PORTFOLIO PERFORMANCE; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) NAME OF ENTITY: Pebble Creek Condos ADDRESS: 8805 Jeffreys Street #1064 Las Vegas, NV 89123 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental of an individual condo CAPACITY: Owner - Passive START DATE: 05/01/20 DUTIES: We own the condo. The renters make their monthly rent payment to the management company, who then forwards 90% to us. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Merback and Clawson Rental Purchase ADDRESS: 962 Spruce St Florence, Oregon 97439 NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Rental Property in Oregon CAPACITY: Owner/Passive START DATE: 01/07/2021 DUTIES: Non-managing partner. Provide initial capital HOURS DEVOTED PER MONTH: 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00 (4) NAME OF ENTITY: University of Oregon Alumni Association ADDRESS: 1720 E. 13th Ave. Eugene, OR, 97403 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Membership organization for the University of Oregon alumni CAPACITY: Las Vegas Chapter President START DATE: 9/11/2021 DUTIES: Organize sports 'watch parties'; help fundraise for scholarships. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
May 20, 2009 - April 19, 2024
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
Las Vegas, NV
Past
May 20, 2009 - April 19, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
Las Vegas, NV
Past
March 31, 2006 - June 16, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CASPER, WY
Past
October 28, 2002 - April 12, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BILLINGS, MT
Past
March 2, 2001 - April 12, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 2, 1998 - March 15, 2001
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
November 21, 1991 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
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.
Visual representation of state registrations
This advisor is not registered in any state.
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
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.
