TM
Tricia M. Mcintosh
RBC CAPITAL MARKETS
Brookhaven, GA
Some features on this profile are disabled
CRD#: 3079084
TM
Professional summary
Tricia Monique Mcintosh, who also goes by Tricia Monique Browne, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Brookhaven, Georgia.
Tricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Tricia has worked at 10 firms and has passed the Series 66, Series 63, Series 3, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tricia Monique Browne
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) NAME OF ENTITY: TMI Media, LLC ADDRESS: 3408 Clairmont Rd NE, Ste. 567 Brookhaven GA 30319 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 14/02/2025 CAPACITY: Sole Proprietor DUTIES: Sole proprietorship, Education, Promotional and educational videos. Original content creation, Proprietor / owner, Creating promotional and educational videos and supporting documents HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
CRS (Client Relationship Summary) - RIA
Click below to view Tricia Monique Mcintosh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tricia Monique Mcintosh'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
June 24, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 3550 Lenox Road Suite 1950, Atlanta, GA 30326RIA
BD
CRD#: 31194
Brookhaven, GA
Current
June 23, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 3550 Lenox Road Suite 1950, Atlanta, GA 30326RIA
BD
CRD#: 31194
Atlanta, GA
Past
December 12, 2022 - July 1, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Atlanta, GA
Past
December 9, 2022 - July 1, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 25, 2022 - April 27, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
Johns Creek, GA
Past
March 17, 2022 - April 27, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
Johns Creek, GA
Past
March 2, 2007 - May 2, 2007
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
ATLANTA, GA
Past
November 1, 2006 - May 11, 2007
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ATLANTA, GA
Past
January 13, 2000 - May 1, 2000
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
November 17, 1999 - September 6, 2001
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
August 18, 1999 - November 18, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 18, 1999 - November 18, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
November 13, 1998 - September 15, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 21, 1998 - October 23, 1998
FIRST ATLANTA SECURITIES, LLC
BD
CRD#: 18200
DESTIN, 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(6/25/2025)
RR
Alaska(6/25/2025)
RR
Arizona(6/25/2025)
RR
Arkansas(6/25/2025)
RR
California(6/25/2025)
RR
Colorado(6/25/2025)
RR
Connecticut(6/25/2025)
RR
Delaware(6/25/2025)
RR
District of Columbia(6/25/2025)
RR
Florida(6/25/2025)
RR
Georgia(6/23/2025)
IAR
Georgia(6/24/2025)
RR
Hawaii(6/25/2025)
RR
Idaho(6/25/2025)
RR
Illinois(6/25/2025)
RR
Indiana(6/25/2025)
RR
Iowa(6/25/2025)
RR
Kansas(6/25/2025)
RR
Kentucky(6/25/2025)
RR
Louisiana(6/25/2025)
RR
Maine(6/25/2025)
RR
Maryland(6/25/2025)
RR
Massachusetts(6/25/2025)
RR
Michigan(6/25/2025)
RR
Minnesota(6/25/2025)
RR
Mississippi(6/25/2025)
RR
Missouri(6/25/2025)
RR
Montana(6/25/2025)
RR
Nebraska(6/25/2025)
RR
Nevada(6/25/2025)
RR
New Hampshire(6/25/2025)
RR
New Jersey(6/25/2025)
RR
New Mexico(6/25/2025)
RR
New York(6/25/2025)
RR
North Carolina(6/25/2025)
RR
North Dakota(6/25/2025)
RR
Ohio(7/2/2025)
RR
Oklahoma(6/25/2025)
RR
Oregon(6/25/2025)
RR
Pennsylvania(6/25/2025)
RR
Puerto Rico(6/25/2025)
RR
Rhode Island(6/25/2025)
RR
South Carolina(6/25/2025)
RR
South Dakota(6/25/2025)
RR
Tennessee(6/25/2025)
RR
Texas(6/25/2025)
RR
Utah(6/25/2025)
RR
Vermont(6/25/2025)
RR
Virgin Islands(6/25/2025)
RR
Virginia(6/25/2025)
RR
Washington(6/25/2025)
RR
West Virginia(6/25/2025)
RR
Wisconsin(6/25/2025)
RR
Wyoming(6/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/17/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
