Gabrielle M. Clemens
RBC CAPITAL MARKETS | Managing Director, Senior Portfolio Manager
Naples, FL 34108
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CRD#: 3021376
Professional summary
Gabrielle Mary Clemens, who also goes by Gabrielle Cagsiano, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Naples, Florida.
Gabrielle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Gabrielle has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
Trust & estate planning
Loans/credit services
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Gabrielle Cagsiano
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)Town of Weston, MA / Weston, United States, Massachusetts / No/ Tom Crane, Town Moderator reviewing town budget requests and allocations / No / Advisor or member of an advisory committee, if the advice given will or may influence an officer or board of a governmental entity / / review town appropriations / Start Date 7/15/15-7/31/18/Estate of Catherine Krupnick / 12 Country Dr. Weston, MA 02493 / Other/ Other estate administration / estate administration / Other / Personal Representative for the Estate / assisting with sorting out the estate / Start Date 3/17/2016/Personal Representative for the Estate / a few hours per month 2) Name of Entity: Marriage Is About Love, Divorce is About Money Non-Investment related Address of Entity: Nature of OBA: book Position/Title/Relationship: Owner - Active Start Date: 02/03/23 Time devoted: 5 hours: 5 hours during securities trading hours Duties: As author, I will promote the book for the purposes of the dissemination of information. 3) NAME OF ENTITY: Investment News magazine/Key Media ADDRESS: James Burton 317 Adelaide Street West, Suite 910 Toronto, Ontario M5V 1P9 - 3190 S Vaughn Way, Suite 550, Aurora, Colorado 80014 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: industry magazine START DATE: 02.05.24 CAPACITY: Other - contributing writer DUTIES: I will provide an article about divorce (from my book) once a month to be included in their magazine HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: Babson College ADDRESS: 231 Forest St. Wellesley, MA 02457 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: College START DATE: 08/27/2024 CAPACITY: Educator DUTIES: Teach a freshman Business Law class, twice per week. I will not be an employee of the college. I will be a part time, visiting teacher. HOURS DEVOTED PER MONTH: 1-4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Gabrielle Mary Clemens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gabrielle Mary Clemens'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
November 7, 2018 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 800 Laurel Oak Drive Suites 500 & 600, Naples, FL 34108RIA
BD
CRD#: 31194
Naples, FL
Current
October 12, 2018 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 800 Laurel Oak Drive Suites 500 & 600, Naples, FL 34108RIA
BD
CRD#: 31194
Naples, FL
Past
October 10, 2008 - November 19, 2018
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOSTON, MA
Past
April 30, 1998 - October 23, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BOSTON, MA
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(3/17/2025)
RR
California(10/12/2018)
RR
Colorado(8/17/2022)
RR
Connecticut(10/12/2018)
RR
District of Columbia(10/12/2018)
RR
Florida(6/30/2021)
IAR
Florida(11/9/2021)
RR
Indiana(6/16/2021)
RR
Kansas(6/13/2025)
RR
Kentucky(9/19/2024)
RR
Maine(10/12/2018)
RR
Maryland(10/16/2018)
RR
Massachusetts(10/12/2018)
RR
Michigan(1/30/2020)
RR
New Hampshire(10/12/2018)
RR
New York(10/12/2018)
RR
North Carolina(10/12/2018)
RR
Ohio(8/3/2021)
RR
Oregon(4/28/2021)
RR
Pennsylvania(10/12/2018)
RR
Rhode Island(10/12/2018)
RR
Tennessee(10/29/2018)
RR
Texas(10/12/2018)
IAR
Texas(2/8/2019)
RR
Vermont(10/12/2018)
RR
Virginia(1/2/2025)
RR
Washington(10/23/2018)
RR
Wisconsin(10/15/2018)
Exams
State Security Law Exam
State Security Law 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.
Company Information
RBC CAPITAL MARKETS, LLC
Managing Director, Senior Portfolio ManagerCRD#: 31194Naples, FL 34108TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
