RH
Rachel B. Heidelberger
RBC CAPITAL MARKETS
MINNEAPOLIS, MN 55401-1931
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CRD#: 5191187
RH
Professional summary
Rachel Beth Heidelberger, who also goes by Rachel B Heidelberger, Rachel Beth Heidelberger, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Minneapolis, Minnesota.
Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Rachel has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rachel B Heidelberger | Rachel Beth Heidelberger
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.
NAME OF BUSINESS:HEIDELBERGER FARM EQUIPMENT ; TYPE OF BUSINESS: RETAIL SALES (E.G. DEPARTMENT OR SPECIALTY STORE), AUCTIONS; NOT INVESTMENT RELATED;EMPLOYEE; HRS/MONTH: 0 - 20 ; INC: UP TO $10000;NO ACTIVITY INVOLVES RBC CLIENTS; NO ACTIVITY LIKELY TO INTERFERE WITH RESPONSIBILITY TO COMPANY AND ITS CLIENTS; NO ACTIVITY LIKELY TO BE VIEWED BY CLIENTS OR PUBLIC AS RBC ACTIVITY. ---- Name of Activity: Farming; Date Activity Started/modified: 01/02/2018; Type of Activity: SMALL BUSINESS; Role/Relationship: OWNER/PROPRIETOR; Responsibilities: Farm maintenance; Income Per Year: $10,000 - $20,000; Total hours Per Month: 20 - 40; Hours During Trading Hours per Month: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? NO.
NAME OF ENTITY: Heidelberger Farm Equipment, LLC.
ADDRESS: 3923 State Hwy 70 Pine City, MN 55063
INVESTMENT/NOT INVESTMENT RELATED: No
BUSINESS DESCRIPTION: Farm Equipment and Auction Company
CAPACITY: Employee
START DATE: 05/20/20
DUTIES: Manage auctions
HOURS DEVOTED PER MONTH: 2
HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
NAME OF ENTITY: Farming
ADDRESS: 1777 Sherwood St Mora, MN 55051
INVESTMENT/NOT INVESTMENT RELATED: No
BUSINESS DESCRIPTION: Raise cattle
CAPACITY: Sole Proprietor
START DATE: 05/20/20
DUTIES: Manage auctions
HOURS DEVOTED PER MONTH: 5
HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Rachel Beth Heidelberger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rachel Beth Heidelberger'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 19, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 250 Nicollet Mall Suite 2000 16th Floor, Minneapolis, MN, 55401-1931RIA
BD
CRD#: 31194
MINNEAPOLIS, MN
Current
May 19, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 250 Nicollet Mall Suite 2000 16th Floor, Minneapolis, MN, 55401-1931RIA
BD
CRD#: 31194
MINNEAPOLIS, MN
Past
April 8, 2019 - May 15, 2020
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
BD
CRD#: 26506
Minneapolis, MN
Past
April 1, 2019 - May 15, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Minneapolis, MN
Past
April 1, 2019 - May 15, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
October 6, 2015 - November 5, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Minneapolis, MN
Past
October 1, 2015 - November 5, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
Past
March 12, 2014 - May 15, 2020
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
August 15, 2012 - December 31, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
March 14, 2011 - March 12, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
June 6, 2008 - November 3, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
ST. PAUL, MN
Past
June 6, 2008 - November 3, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ST. PAUL, MN
Past
April 2, 2007 - May 16, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
November 2, 2006 - February 27, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
NEW BRIGHTON, MN
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
Massachusetts(8/28/2023)
RR
Minnesota(5/19/2020)
IAR
Minnesota(5/19/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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
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.
