Stephen N. Sehler
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.
Stephen Norman Sehler was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2000 - December 16, 2016
RBC CAPITAL MARKETS, LLC
June 6, 1998 - December 16, 2016
RBC CAPITAL MARKETS, LLC
May 25, 1995 - June 5, 1998
CIBC WORLD MARKETS CORP.
December 24, 1991 - May 19, 1995
J.P. MORGAN SECURITIES LLC
August 25, 1989 - December 31, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 2, 1978 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 26, 1976 - January 2, 1978
WISCONSIN INVESTMENT MANAGEMENT CO., INC.
February 11, 1976 - September 15, 1978
THE MILWAUKEE COMPANY
May 1, 1974 - March 9, 1976
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 26, 1973 - June 11, 1974
THOMSON MCKINNON SECURITIES INC.
February 9, 1972 - February 16, 1973
WOOLARD & COMPANY INCORPORATED
July 20, 1970 - February 3, 1972
FIRST MIDWEST INVESTMENT CORP.
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
PC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 5/3/1967
Registered Representative ExaminationSeries 8
Date: 1/6/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 1/14/1970
General Securities Principal 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 | 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.
