Robert L. Sidell
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.
Robert Leonard Sidell SR, who also goes by Bob Sidell, Robert L Sidell, Robert Leonard Sidell, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1969. Robert had worked at 22 firms and has passed the Series 65, Series 63, Series 1 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
March 13, 2009 - April 16, 2009
RBC CAPITAL MARKETS, LLC
March 13, 2009 - April 16, 2009
RBC CAPITAL MARKETS, LLC
July 29, 2005 - March 13, 2009
FERRIS, BAKER WATTS, LLC
July 29, 2005 - March 13, 2009
FERRIS, BAKER WATTS, LLC
November 6, 2003 - August 2, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
March 13, 2003 - October 28, 2003
AFFINITY WEALTH MANAGEMENT LLC
February 13, 2003 - August 2, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
September 4, 1996 - February 11, 2003
IFG ADVISORY SERVICES INC
January 1, 1996 - February 11, 2003
IFG NETWORK SECURITIES, INC.
June 23, 1995 - January 1, 1996
WEALTH BUILDERS EQUITY CORPORATION
July 21, 1989 - June 13, 1995
THE ADVISORS GROUP, INC.
March 31, 1989 - August 8, 1989
MUTUAL SERVICE CORPORATION
March 10, 1987 - August 10, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 19, 1983 - August 26, 1983
AETNA LIFE INSURANCE AND ANNUITY COMPANY
February 18, 1983 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
October 21, 1982 - August 18, 1989
G. R. PHELPS & CO., INC.
June 23, 1982 - January 27, 1989
PROVIDENT MARKETING CORPORATION
April 12, 1982 - March 4, 1983
GREEN HILL FINANCIAL SERVICE CORPORATION
February 19, 1982 - January 6, 1983
HEATHER AGENCY, INC.
May 24, 1977 - August 27, 1981
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 14, 1977 - January 27, 1989
PROVIDENT MARKETING CORPORATION
August 25, 1976 - March 18, 1977
IRG SECURITIES, INC.
March 19, 1973 - January 19, 1989
ILG SECURITIES CORPORATION
November 29, 1972 - January 14, 1977
PLA SECURITIES CORPORATION
June 2, 1970 - December 7, 1972
CAPITAL DEVELOPMENT ASSOCIATES, INC.
September 11, 1969 - January 12, 1973
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
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 1
Date: 9/8/1969
Registered 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 | 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.
