JM
James P. Meyer
Some features on this profile are disabled
CRD#: 333115
JM
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.
James Purdy Meyer was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, PC, Series 1 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
No
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) CHICAGO CHILDREN'S CHOIR; ADDRESS: 78 E WASHINGTON STREET CHICAGO, IL 60602; BUSINESS DESCRIPTION: CHILDREN'S CHOIR; NOT INVESTMENT RELATED; START DATE: 07/04/2011; CAPACITY: DIRECTOR; DUTIES: SUPPORT FINANCIALLY AND MORALLY; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) UNION LEAGUE CLUB BOYS AND GIRLS; ADDRESS: 65 W JACKSON CHICAGO, IL 60614; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 11/01/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: TRUSTEE, CHAIR OF INVESTMENT COMMITTEE; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 1 (3) LUMINARTS; ADDRESS: 65 W JACKSON CHICAGO, IL 60614; BUSINESS DESCRIPTION: NOT FOR PROFIT; FOUNDATION; START DATE: 11/01/2011; CAPACITY: DIRECTOR; DUTIES: LIFE MEMBER; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
November 12, 2008 - June 14, 2022
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
CHICAGO, IL
Past
November 10, 2008 - June 14, 2022
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CHICAGO, IL
Past
September 22, 2008 - November 12, 2008
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
CHICAGO, IL
Past
February 14, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
CHICAGO, IL
Past
October 11, 2000 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
CHICAGO, IL
Past
July 1, 1998 - October 18, 2000
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
August 25, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
February 26, 1993 - August 17, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
November 18, 1992 - February 23, 1993
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
May 6, 1985 - November 9, 1992
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 10, 1984 - May 9, 1985
WILLIAM BLAIR
BD
CRD#: 1252
Past
April 23, 1979 - January 26, 1984
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
Past
January 3, 1974 - May 21, 1979
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
December 10, 1968 - January 31, 1974
BUTLER, WICK & CO., INC.
BD
CRD#: 120
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 10/30/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/13/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 2/19/1963
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 12/10/1968
Registered Principal ExaminationCurrent 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
