Peter H. Foley
RBC CAPITAL MARKETS | SVP-Investments
PALM BEACH GARDENS, FL 33410-2757
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CRD#: 2580052
Peter H Foley JRRBC CAPITAL MARKETS
Professional summary
Peter H Foley JR, who also goes by Peter H Foley, Peter Hargitt Foley Jr, Peter Hargitt Foley, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Palm Beach Gardens, Florida.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Peter has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 9 and Series 10 exams.
At a Glance
Min. Asset: $500K–$1M
100–250 clients
Services Offered
Investment Management
Estate & Legacy Planning
Financial Planning
Retirement Planning
Aliases
Peter H Foley | Peter Hargitt Foley Jr | Peter Hargitt Foley
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.
PRIVATE INVESTMENT, RENTAL PROPERTY. NOB NA LLC,MiamiFLUnited States,Limited Liability CompanyRetailers (Apparel, Food, General),We are acquiring the north american and European Distribution rights for a life jacket made in Brazil. we will well them as well as clothing at an online site to be developed,help drive sales via introductions to yacht clubs and sailing programs around the country,Start date -10/6/2025Investment date -Yes NAVO Marine Technologies,MiamiFLUnited States,Limited Liability CompanyDistributors,We are acquiring the north american and European Distribution rights for a life jacket made in Brazil. we will well them as well as clothing at an online site to be developed,help drive sales via introductions to yacht clubs and sailing programs around the country, Start date -10/6/2025 Foley NOB NA LLC,MiamiFLUnited States,Limited Liability CompanyRetailers (Apparel, Food, General),this is the entity that will hold my shares of NOB NA, NAVO Marine Technology, PAPAS Marine Fleet Management LLC,,Partner,none just a pass through entity, Start date -12/10/2025
CRS (Client Relationship Summary) - RIA
Click below to view Peter H Foley JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter H Foley JR'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®
NoneEducation
American/United States Studies/Civilization
1987 - 1991
Experience
Current
July 30, 2026 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 3801 Pga Blvd Suite 801, Palm Beach Gardens, FL 33410-2757RIA
BD
CRD#: 31194
PALM BEACH GARDENS, FL
Current
July 29, 2026 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 3801 Pga Blvd Suite 801, Palm Beach Gardens, FL 33410-2757RIA
BD
CRD#: 31194
PALM BEACH GARDENS, FL
Past
October 5, 2016 - August 6, 2026
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PALM BEACH GARDENS, FL
Past
October 4, 2016 - August 6, 2026
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PALM BEACH GARDENS, FL
Past
March 6, 2013 - July 7, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
STUART, FL
Past
March 4, 2013 - July 7, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
STUART, FL
Past
March 10, 1995 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOCA RATON, FL
Past
March 8, 1995 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOCA RATON, FL
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
Alabama(8/6/2026)
RR
Alaska(7/30/2026)
RR
Arizona(8/5/2026)
RR
Arkansas(8/10/2026)
RR
California(7/29/2026)
RR
Colorado(7/30/2026)
RR
Connecticut(7/31/2026)
RR
Delaware(7/31/2026)
RR
District of Columbia(7/30/2026)
RR
Florida(7/30/2026)
IAR
Florida(7/30/2026)
RR
Georgia(7/30/2026)
RR
Idaho(7/29/2026)
RR
Illinois(8/4/2026)
RR
Iowa(8/7/2026)
RR
Kansas(7/30/2026)
RR
Kentucky(8/3/2026)
RR
Maine(8/6/2026)
RR
Maryland(8/5/2026)
RR
Michigan(7/31/2026)
RR
Minnesota(8/6/2026)
RR
Mississippi(8/7/2026)
RR
Montana(7/30/2026)
RR
Nevada(7/30/2026)
RR
New Hampshire(8/10/2026)
RR
New Jersey(7/30/2026)
RR
New Mexico(7/30/2026)
RR
New York(8/3/2026)
RR
North Carolina(8/10/2026)
RR
Ohio(7/29/2026)
RR
Oklahoma(8/3/2026)
RR
Pennsylvania(8/3/2026)
RR
Rhode Island(8/6/2026)
RR
South Carolina(7/31/2026)
RR
South Dakota(8/6/2026)
RR
Tennessee(7/30/2026)
RR
Texas(7/30/2026)
IAR
Texas(7/30/2026)
RR
Utah(7/29/2026)
RR
Vermont(8/6/2026)
RR
Virginia(8/6/2026)
RR
Washington(8/7/2026)
RR
Wisconsin(7/29/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
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 GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
SRO Registrations
RR
Texas Stock Exchange LLC
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
8,781
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 | 511,871 |
| AUM (Assets Under Management) | $ 310,428,968,904 |
Disclosures
| Regulatory Event | 367 |
| 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RBC CAPITAL MARKETS, LLC
SVP-InvestmentsCRD#: 31194Palm Beach Gardens, FL 33410-2757TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
