Carmen M. Reynoso
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.
Carmen M Reynoso, who also goes by Carmen Maria Cazessus, Maria Carmen Cazessus, Carmen Maria Lopez, Maria Armen Lopez, Carmen Maria Reynoso, Carmen Maria Reynoso-lopez, was a registered financial professional .
Carmen is a previously registered financial professional and started their career in finance in 2007. Carmen had worked at 10 firms and has passed the Series 63, Series 22TO, Series 6TO, Series 99TO, Series 82TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2023 - April 25, 2024
RBC CAPITAL MARKETS, LLC
May 26, 2022 - July 25, 2022
OSAIC SERVICES, INC.
August 10, 2021 - May 18, 2022
MORGAN STANLEY
July 11, 2019 - June 1, 2020
COURTLANDT SECURITIES CORPORATION
November 7, 2016 - July 25, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 18, 2015 - July 2, 2015
1ST GLOBAL CAPITAL CORP.
December 5, 2012 - September 10, 2013
1ST GLOBAL CAPITAL CORP.
December 7, 2010 - January 14, 2011
SECURITIES SERVICE NETWORK, LLC
March 20, 2008 - November 2, 2010
WELLS FARGO CLEARING SERVICES, LLC
December 7, 2007 - January 22, 2008
DEWAAY FINANCIAL NETWORK, LLC
June 25, 2007 - October 22, 2007
CITIGROUP GLOBAL MARKETS INC.
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
Series 22TO
Date: 1/18/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/18/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/18/2023
Operations Professional ExaminationSeries 82TO
Date: 1/18/2023
Limited Representative-Private Securities OfferingsCurrent 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.
