SB
Shawn J. Borisoff
RBC CAPITAL MARKETS
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 3110707
SB
Professional summary
Shawn Jarred Borisoff, who also goes by Shawn J Borisoff, Shawn Jarred Borisoff, is a registered financial professional currently at RBC CAPITAL MARKETS, LLC located in San Francisco, California.
Shawn is registered as a RR (Registered Representative) and started their career in finance in 2000. Shawn has worked at 5 firms and has passed the Series 63, Series 82TO, Series 22TO, Series 52TO, Series 6TO, Series 79TO, Series 99TO, SIE, Series 7, Series 39, Series 14, Series 26 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Shawn J Borisoff | Shawn Jarred Borisoff
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Shawn Jarred Borisoff'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
October 6, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: Two Embarcadero Center Suite 1200, San Francisco, CA 94111RIA
BD
CRD#: 31194
San Francisco, CA
Past
August 30, 2017 - September 29, 2022
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN FRANCISCO, CA
Past
December 4, 2008 - May 8, 2017
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
January 13, 2005 - November 15, 2007
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
LONDON,
Past
September 1, 2000 - January 21, 2003
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
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.
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(10/20/2022)
RR
Alaska(10/20/2022)
RR
Arizona(10/20/2022)
RR
Arkansas(10/20/2022)
RR
California(10/6/2022)
RR
Colorado(10/20/2022)
RR
Connecticut(10/20/2022)
RR
Delaware(10/20/2022)
RR
District of Columbia(10/20/2022)
RR
Florida(10/20/2022)
RR
Georgia(10/20/2022)
RR
Hawaii(10/20/2022)
RR
Idaho(10/20/2022)
RR
Illinois(10/20/2022)
RR
Indiana(10/20/2022)
RR
Iowa(10/20/2022)
RR
Kansas(10/20/2022)
RR
Kentucky(10/20/2022)
RR
Louisiana(10/20/2022)
RR
Maine(10/20/2022)
RR
Maryland(10/20/2022)
RR
Massachusetts(10/20/2022)
RR
Michigan(10/20/2022)
RR
Minnesota(10/20/2022)
RR
Mississippi(10/20/2022)
RR
Missouri(10/20/2022)
RR
Montana(10/20/2022)
RR
Nebraska(10/20/2022)
RR
Nevada(10/20/2022)
RR
New Hampshire(10/20/2022)
RR
New Jersey(10/20/2022)
RR
New Mexico(10/20/2022)
RR
New York(10/20/2022)
RR
North Carolina(10/20/2022)
RR
North Dakota(10/20/2022)
RR
Ohio(10/20/2022)
RR
Oklahoma(10/20/2022)
RR
Oregon(10/20/2022)
RR
Pennsylvania(10/20/2022)
RR
Rhode Island(10/20/2022)
RR
South Carolina(10/20/2022)
RR
South Dakota(10/20/2022)
RR
Tennessee(10/20/2022)
RR
Texas(10/20/2022)
RR
Utah(10/20/2022)
RR
Vermont(10/20/2022)
RR
Virginia(10/20/2022)
RR
Washington(10/20/2022)
RR
West Virginia(10/20/2022)
RR
Wisconsin(10/20/2022)
RR
Wyoming(10/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
