SF
Sean R. Frelke
RBC CAPITAL MARKETS
Wilmington, NC
Some features on this profile are disabled
CRD#: 5003231
SF
Professional summary
Sean Ronald Frelke, who also goes by Sean R Frelke, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Wilmington, North Carolina.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Sean has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean R Frelke
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) FRESH INK PROPERTIES POSITION: Member- Manager NATURE: Rental Real Estate- owns and manages individual rental properties. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/18/2003 ADDRESS: 1419 Rankin Street, Wilmington NC 28401, United States DESCRIPTION: Managed financial affairs for propeties from time to time. Spouse responsible for day to day operations 2) RED TIGER DEVELOPMENT LLC POSITION: Member-Manager NATURE: Manage financial affairs of rental real estate holdings. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/07/2008 ADDRESS: 1419 Rankin Street, Wilmington NC 28401, United States DESCRIPTION: Manage financial affairs of entity. Spouse is real estate agent and handles day to day operations. 3) Name: Red Tiger Development LLC Address: 1419 Rankin Street Wilmington NC 28401 Business Description: Rental Real Estate Business is not investment related Projected Start Date: 09/12/11 Capacity: Owner - Passive Duties Performed: I will provide direction on financing and other financial affairs for the entity from time to time. My wife is a real estate professional and will handle all day to day responsibilities. Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 4) Name: Sean R. Frelke Address: 1419 Rankin Street Wilmington NC 28401 Business Description: Rental Real Estate Business is not investment related Projected Start Date: 03/05/02 Capacity: Owner - Passive Duties Performed: My wife is a real estate professional handles all day to day operations of the entity. I advise on financing matters as well and other issues from time to time. Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 5) NAME OF ENTITY: KPLT ILM LLC; ADDRESS: Personal Residence; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Rental Real Estate; CAPACITY: Owner-Passive; START DATE: 01/01/2021; DUTIES: Review financials and cash flow management; HOURS DEVOTED PER MONTH: varies but less than 1 hour outside of workday per week; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None; 6) NAME OF ENTITY: Basilica of St. Mary ADDRESS: 412 Ann Street Wilmington NC 28401 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Roman Catholic Parish CAPACITY: Other - Appointed Member of Finance Council START DATE: 11/01/22 DUTIES: Serve on finance council for parish. Review financing and provide with other members financial stewardship for the parish. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 7) NAME OF ENTITY: Downtown Wilmington Rotary Foundation ADDRESS: P.O. Box 1194 Wilmington NC 28402 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Service Club CAPACITY: Board of Directors *, Treasurer START DATE: 08/07/23 DUTIES: Retrieve reports for the Board. Discuss investments of the foundation with the Board. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Sean Ronald Frelke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Ronald Frelke's CRS (Customer Relationship Summary).
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
Current
May 13, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 1055 Military Cutoff Road Suite 200, Wilmington, NC 28405-4367Office #3: 3800 Glenwood Avenue Suite 400, Raleigh, NC 27612RIA
BD
CRD#: 31194
Wilmington, NC
Current
May 13, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1055 Military Cutoff Road Suite 200, Wilmington, NC 28405-4367Office #2: 3800 Glenwood Avenue Suite 400, Raleigh, NC 27612RIA
BD
CRD#: 31194
Wilmington, NC
Past
January 2, 2013 - May 20, 2020
BB&T SECURITIES, LLC
RIA
CRD#: 142785
WILMINGTON, NC
Past
January 2, 2013 - May 20, 2020
BB&T SECURITIES, LLC
BD
CRD#: 142785
WILMINGTON, NC
Past
June 1, 2011 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
WILMINGTON, NC
Past
June 1, 2011 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
WILMINGTON, NC
Past
April 10, 2006 - May 13, 2011
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
WILMINGTON, NC
Past
February 28, 2006 - May 13, 2011
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WILMINGTON, NC
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/12/2023)
RR
Colorado(10/8/2024)
RR
Delaware(12/13/2021)
RR
Florida(5/13/2020)
RR
Georgia(11/20/2024)
RR
Illinois(7/25/2022)
RR
Indiana(10/24/2025)
RR
Louisiana(5/13/2020)
RR
Massachusetts(5/13/2020)
RR
Missouri(12/18/2020)
RR
Nevada(10/26/2023)
RR
New Hampshire(5/13/2020)
RR
New York(9/28/2022)
RR
North Carolina(5/13/2020)
IAR
North Carolina(5/13/2020)
RR
South Carolina(5/13/2020)
RR
Tennessee(10/6/2025)
RR
Texas(10/26/2023)
IAR
Texas(10/26/2023)
RR
Utah(1/2/2024)
RR
Virginia(5/13/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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)
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.
