Patrick A. Signor
RBC CAPITAL MARKETS
Watertown, NY
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CRD#: 2761157
Professional summary
Patrick Allen Signor, CFP® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Watertown, New York.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Patrick has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.
Question & Answer
What are your service offerings?
Inheritance
Retirement Planning
Comprehensive Financial Planni...
Retirement Income Management
Investment Planning
Estate Planning
Education Planning
Are you a "fiduciary"?
Yes
Aliases
None
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) SACRED HEART FOUNDATION; ADDRESS: 668 THOMPSON ST., WATERTOWN, NY 13601; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 01/01/2017; CAPACITY: BOARD OF DIRECTORS; DUTIES: PRIMARY FUND-RAISING; HOURS DEVOTED PER WEEK: <1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (2) Name of Entity - Rotary Club of Watertown Sunrise Address - PO Box 6423 Watertown NY 13601 Business Description - Service Club Business is not investment related Projected Start Date: 08/15/2019 Capacity: Officer Duties Performed: The club raises money for local not for profits, primarily children with disabilities. It meets weekly for breakfast. It is also a social organization and will occasionally have club outings for members. Hours Devoted to this OBA per Month: 1 Hour Hours Devoted to this OBA during business hours: 0 (3)Name of Business: Sister's of Saint Joseph Business Description: Roman Catholic Religious Order Business is investment-related: (yes or no) Address: 1425 Washington St Watertown NY 13601 Capacity: Committee/Council Member (not associated with the Board of Directors) Start Date: 10/25/19 Duties: The committee meets twice a year for approximately 1 hour to hear presentations from their outside money managers. Those managers do not include RBC Wealth Management. Hours devoted per month: Approximately 2 to 3 hours per year Hours devoted during securities hours per month: 0 4) NAME OF ENTITY: Henry Keep Home ADDRESS: 1120 Commerce Park Drive East, Watertown, NY 13601 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01.01.25 CAPACITY: Board of Directors DUTIES: Assist with oversight of onsite managers and health care providers. Provide guidance regarding financial decisions. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Allen Signor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Allen Signor'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®
CFP®
Start date: 2021
Experience
Current
November 14, 2011 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 19485 Us Route 11, Watertown, NY 13601RIA
BD
CRD#: 31194
Watertown, NY
Current
November 14, 2011 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 19485 Us Route 11, Watertown, NY 13601RIA
BD
CRD#: 31194
Watertown, NY
Past
July 10, 2006 - November 14, 2011
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
FULTON, NY
Past
January 1, 2005 - November 14, 2011
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
FULTON, NY
Past
July 2, 1996 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
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
Alabama(11/14/2011)
RR
Alaska(9/19/2025)
RR
Arizona(6/27/2014)
RR
Arkansas(9/19/2025)
RR
California(11/14/2011)
RR
Colorado(6/27/2014)
RR
Connecticut(11/14/2011)
IAR
Connecticut(11/14/2011)
RR
Delaware(10/29/2020)
RR
District of Columbia(9/19/2025)
RR
Florida(11/14/2011)
RR
Georgia(9/28/2017)
RR
Idaho(9/19/2025)
RR
Illinois(1/19/2022)
RR
Indiana(9/19/2025)
RR
Iowa(8/8/2016)
RR
Kansas(9/19/2025)
RR
Kentucky(7/14/2020)
RR
Louisiana(9/19/2025)
RR
Maine(6/27/2014)
RR
Maryland(6/27/2014)
RR
Massachusetts(6/27/2014)
RR
Michigan(7/17/2024)
RR
Minnesota(9/19/2025)
RR
Mississippi(9/19/2025)
RR
Missouri(3/24/2017)
RR
Montana(9/19/2025)
RR
Nebraska(9/19/2025)
RR
Nevada(9/19/2025)
RR
New Hampshire(9/24/2021)
RR
New Jersey(12/18/2024)
RR
New Mexico(9/19/2025)
RR
New York(11/14/2011)
IAR
New York(8/6/2021)
RR
North Carolina(11/14/2011)
RR
North Dakota(9/19/2025)
RR
Ohio(7/30/2012)
RR
Oklahoma(9/19/2025)
RR
Oregon(9/19/2025)
RR
Pennsylvania(4/30/2024)
RR
Rhode Island(9/19/2025)
RR
South Carolina(7/13/2012)
RR
Tennessee(9/19/2025)
RR
Texas(6/27/2014)
IAR
Texas(7/2/2014)
RR
Utah(8/8/2023)
RR
Vermont(1/3/2014)
RR
Virginia(7/6/2012)
RR
Washington(9/19/2025)
RR
West Virginia(9/19/2025)
RR
Wisconsin(9/19/2025)
RR
Wyoming(9/19/2025)
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
Principal/Supervisory 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.
