JS
Jane R. Stromwall
RBC CAPITAL MARKETS
OCONOMOWOC, WI
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CRD#: 3155817
JS
Professional summary
Jane Rizzi Stromwall is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Oconomowoc, Wisconsin.
Jane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jane has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
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) INDIAN COMMUNITY SCHOOL SUPPORTING ORGANIZATION; ADDRESS: 10405 ST. MARTINS RD., FRANKLIN, WI 53132; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 07/01/2014; CAPACITY: BOARD OF DIRECTORS; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 40; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE; (2) WAUKESHA COUNTY COMMUNITY FOUNDATION; ADDRESS: 2727 N. GRANDVIEW BLVD., UNIT 301 WAUKESHA, WI 53188; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 07/31/2009; CAPACITY: COMMITTEE COUNCIL MEMBER; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE; (3) CHILDRENS HOSPITAL OF MILWAUKEE - PLANNED GIVING COUNCIL; ADDRESS: 8700 WISCONSIN AVENUE, MILWAUKEE, WI; BUSINESS DESCRIPTION: ADVISORY BOARD; NOT INVESTMENT RELATED; START DATE: 01/01/2015; CAPACITY: BOARD OF DIRECTORS; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE; (4) META HOUSE; ADDRESS:" 2625 N WEIL STREET, MILWAUKEE, WI 53212; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT; CAPACITY: COMMITTEE/COUNCIL MEMBER (NOT ASSOCIATED WITH THE BOARD OF DIRECTORS); START DATE: 1/12/2019; DUTIES: META HOUSE ADVISORY COUNCIL; HELP GUIDE THE BOARD OF DIRECTORS AND EXECUTIVE STAFF ON AGENCY STRATEGY, DIRECTION, PHILANTHROPIC EFFORTS AND LARGE SCALE INITIATIVES; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (5) Name of business: LOWER NASHOTAH LAKE ASSOCIATION Business Description: NON PROFIT LAKE ASSOCIATION Whether the business is investment-related: no Address: 34634 BARTLETT ROAD SUMMIT, WI 53066 (HOME) Capacity: Officer Start Date: 06/30/19 Duties: VICE PRESIDENT: 3 YEAR TERM: ATTEND QUARTERLY LAKE ASSOCIATION BOARD MEETINGS Hours devoted per month: 1 Hours devoted during securities hours per month: 0 (5) NAME OF ENTITY: Real Estate ADDRESS: 10956 JAY STREET BROOMFIELD, CO 80020 NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Real Estate Rental CAPACITY: Owner/Active START DATE: 06/01/2021 DUTIES: Landlord HOURS DEVOTED PER MONTH: 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00
CRS (Client Relationship Summary) - RIA
Click below to view Jane Rizzi Stromwall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jane Rizzi Stromwall'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
December 19, 2017 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 525 Main Street Suite 410, Delafield, WI 53018RIA
BD
CRD#: 31194
OCONOMOWOC, WI
Current
December 19, 2017 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 525 Main Street Suite 410, Delafield, WI 53018RIA
BD
CRD#: 31194
Delafield, WI
Past
June 9, 2006 - December 21, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DELAFIELD, WI
Past
June 9, 2006 - December 21, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DELAFIELD, WI
Past
January 20, 1999 - June 27, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MILWAUKEE, WI
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(12/19/2017)
RR
Arkansas(8/30/2023)
RR
California(12/19/2017)
RR
Colorado(12/19/2017)
RR
Connecticut(1/9/2020)
RR
Delaware(1/19/2024)
RR
Florida(12/19/2017)
RR
Georgia(12/19/2017)
RR
Hawaii(1/19/2024)
RR
Idaho(1/19/2024)
RR
Illinois(12/19/2017)
RR
Indiana(1/19/2024)
RR
Iowa(1/19/2024)
RR
Kansas(1/19/2024)
RR
Kentucky(8/15/2022)
RR
Louisiana(1/19/2024)
RR
Maryland(12/19/2017)
RR
Massachusetts(1/19/2024)
RR
Michigan(1/19/2024)
RR
Minnesota(12/22/2017)
RR
Mississippi(1/19/2024)
RR
Missouri(1/19/2024)
RR
Nebraska(12/19/2017)
RR
Nevada(12/19/2017)
RR
New Jersey(1/19/2024)
RR
New York(5/10/2024)
RR
North Carolina(1/8/2024)
RR
Ohio(12/19/2017)
RR
Oklahoma(5/1/2024)
RR
Oregon(2/9/2018)
RR
Pennsylvania(1/29/2023)
RR
Rhode Island(10/1/2018)
RR
South Carolina(12/19/2017)
RR
Tennessee(12/19/2017)
RR
Texas(12/19/2017)
IAR
Texas(12/19/2017)
RR
Utah(4/7/2021)
RR
Virginia(1/19/2024)
RR
Washington(12/19/2017)
RR
Wisconsin(12/19/2017)
IAR
Wisconsin(12/19/2017)
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
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.
