Lisa Lagosh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lisa Lagosh was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1999. Lisa had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2018 - May 5, 2021
RBC CAPITAL MARKETS, LLC
May 30, 2018 - May 5, 2021
RBC CAPITAL MARKETS, LLC
July 27, 2016 - May 23, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 27, 2016 - May 23, 2018
WELLS FARGO CLEARING SERVICES, LLC
December 22, 2014 - June 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2014 - June 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2013 - June 27, 2013
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 6, 2013 - March 31, 2014
AVATAR INVESTMENT MANAGEMENT
September 12, 2008 - March 30, 2011
ASSETMARK, INC.
January 7, 2008 - March 30, 2011
CAPITAL BROKERAGE CORPORATION
March 22, 2006 - July 27, 2007
MML DISTRIBUTORS, LLC
April 1, 2005 - October 4, 2005
OSAIC FS, INC.
October 28, 1999 - March 21, 2005
VOYA FINANCIAL PARTNERS, LLC
January 20, 1999 - October 26, 1999
INVEST FINANCIAL CORPORATION
Primary Firm SEC Registration
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/24/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/24/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
Contact information
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
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.
