Mark G. Michalski
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.
Mark George Michalski was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2001. Mark had worked at 12 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2016 - October 11, 2016
RBC CAPITAL MARKETS, LLC
January 6, 2016 - October 11, 2016
RBC CAPITAL MARKETS, LLC
May 2, 2014 - November 3, 2015
CETERA INVESTMENT ADVISERS LLC
March 7, 2014 - November 3, 2015
CETERA INVESTMENT SERVICES LLC
January 31, 2014 - February 27, 2014
FOCUS FINANCIAL
May 18, 2006 - December 31, 2008
FOCUS FINANCIAL
May 12, 2006 - February 28, 2014
OSAIC WEALTH, INC.
January 12, 2006 - May 18, 2006
CETERA WEALTH SERVICES, LLC
November 8, 2005 - December 2, 2005
CLARK SECURITIES, INC.
November 19, 2004 - June 3, 2005
PARK AVENUE SECURITIES LLC
November 19, 2004 - June 3, 2005
PARK AVENUE SECURITIES LLC
July 22, 2003 - May 13, 2004
SII INVESTMENTS, INC.
May 21, 2002 - June 2, 2003
WELLS FARGO INVESTMENTS, LLC
April 26, 2001 - February 19, 2002
IDS LIFE INSURANCE COMPANY
April 26, 2001 - February 19, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current 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 | 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.
