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Smith Vioselin

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CRD#: 4666636

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.

Smith Vioselin was a registered financial professional .

Smith is a previously registered financial professional and started their career in finance in 2003. Smith had worked at 21 firms and has passed the Series 66, Series 63, Series 25, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

April 10, 2024 - August 28, 2025

RBC CAPITAL MARKETS, LLC

BD

CRD#: 31194

BOSTON, MA

Past

January 2, 2024 - March 15, 2024

FORESIDE GLOBAL SERVICES, LLC

BD

CRD#: 147382

Stoughton, MA

Past

April 21, 2022 - March 15, 2024

MGI FUNDS DISTRIBUTORS, LLC

BD

CRD#: 35682

Stoughton, MA

Past

December 15, 2021 - October 11, 2023

COMPASS DISTRIBUTORS, LLC

BD

CRD#: 172662

Stoughton, MA

Past

December 15, 2021 - March 15, 2024

QUASAR DISTRIBUTORS, LLC

BD

CRD#: 103848

Stoughton, MA

Past

December 15, 2021 - March 15, 2024

PARNASSUS FUNDS DISTRIBUTOR, LLC

BD

CRD#: 15883

Stoughton, MA

Past

December 15, 2021 - March 15, 2024

NORTHERN FUNDS DISTRIBUTORS, LLC

BD

CRD#: 45943

Stoughton, MA

Past

December 15, 2021 - March 15, 2024

IMST DISTRIBUTORS, LLC

BD

CRD#: 130745

Stoughton, MA

Past

December 15, 2021 - March 15, 2024

FUNDS DISTRIBUTOR, LLC

BD

CRD#: 7174

Stoughton, MA

Past

December 15, 2021 - March 15, 2024

FORESIDE FUNDS DISTRIBUTORS LLC

BD

CRD#: 31334

Stoughton, MA

Past

December 15, 2021 - March 15, 2024

FORESIDE FUND SERVICES, LLC

BD

CRD#: 46106

Stoughton, MA

Past

December 15, 2021 - March 15, 2024

FORESIDE FINANCIAL SERVICES, LLC

BD

CRD#: 148477

Stoughton, MA

Past

December 15, 2021 - March 15, 2024

FORESIDE DISTRIBUTION SERVICES, L.P.

BD

CRD#: 15634

Stoughton, MA

Past

October 25, 2019 - June 14, 2021

EATON VANCE DISTRIBUTORS, INC.

BD

CRD#: 37731

BOSTON, MA

Past

July 18, 2011 - October 7, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LINCOLN, RI

Past

July 15, 2011 - October 7, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

LINCOLN, RI

Past

June 7, 2010 - July 13, 2011

BOFA ADVISORS, LLC

RIA

CRD#: 107900

BOSTON, MA

Past

June 3, 2010 - July 13, 2011

BOFA DISTRIBUTORS, INC.

BD

CRD#: 30683

BOSTON, MA

Past

May 1, 2010 - May 25, 2010

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

MINNEAPOLIS, MN

Past

May 1, 2010 - May 24, 2010

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD

CRD#: 840

BOSTON, MA

Past

October 11, 2006 - May 1, 2010

BOFA ADVISORS, LLC

RIA

CRD#: 107900

BOSTON, MA

Past

July 10, 2006 - May 1, 2010

BOFA DISTRIBUTORS, INC.

BD

CRD#: 30683

BOSTON, MA

Past

September 17, 2003 - July 2, 2004

INLINE BROKERS, INC.

BD

CRD#: 32175

NEW YORK, NY

Past

August 15, 2003 - November 6, 2003

SANDS BROTHERS & CO., LTD.

BD

CRD#: 26816

NEW YORK, NY

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 10/7/2006

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 9/8/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 25

Date: 2/10/2004

NYSE Trading Assistant Examination

General Industry/Product Exam

RR

Series 7

Date: 8/13/2003

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 2/28/2022

General Securities Principal Examination

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVISORY PROGRAMS DISCLOSURE DOCUMENT (12/12/2025)

RBC CLEARING AND CUSTODY ADVISORY PROGRAMS DISCLOSURE DOCUMENT (12/12/2025)

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (12/12/2025)

RBC FINANCIAL PLANNING DISCLOSURE DOCUMENT (9/30/2025)

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	Cover Page	Report
08/27/2024	Cover Page	Report
09/14/2023	Cover Page	Report

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.

Company Information

RBC CAPITAL MARKETS, LLC

CRD#: 31194

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