Michael S. Treinen
RBC CAPITAL MARKETS | Vice President - Wealth Management
Eagle, ID 83616-5397
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CRD#: 5514377
Professional summary
Michael S Treinen, CFP® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Eagle, Idaho.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Trading individual securities
Loans/credit services
Trust & estate planning
Insurance
Financial planning
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
Yes
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.
1) NAME OF ENTITY: Idaho Catholic Foundation ADDRESS: 1501 S Federal Way Suite 400 Boise Idaho 83705 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE:15/12/2015 CAPACITY: Committee/Council Member, Director DUTIES: I serve as chairman of the board for the Board of Directors of the Idaho Catholic Foundation. In addition, I serve on the finance committee where we work with an outside consultant to manage the Foundation's endowment. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours 2) NAME OF ENTITY: Mortar Board National Foundation ADDRESS: 1200 Chambers Rd Suite 201 Columbus Ohio 43212 INVESTMENT/NOT INVESTMENT RELATED: Yes, As part of the committee, we discuss the recommendations from our investment advisor and approve/disapprove them. I share my knowledge and opinions about the recommendations. BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01/01/2023 CAPACITY: Committee/Council Member DUTIES: I serve on the investment committee for the National Mortar Board Foundation. We work with an outside investment advisor (Schwab) to manage the Foundation's assets. FA confirmed with BSG he is NOT an authorized individual on the Schwab account. He just advises the committee. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours 3) eBay, Boise Idaho United States-83706, My son sells items through the eBay website. He acquires these items by playing video games, and from buying/trading them with other uses. Because he is a minor (age 14), he cannot have his own eBay account, so I set one up under my name which is linked to my UBS RMA. When he sells items on eBay, the net proceeds are deposited into my UBS RMA.Retailers (Apparel, Food, General), Parent; custodian of my child, I oversee his transactions and monitor his communications on eBay, start date-1/1/2025
CRS (Client Relationship Summary) - RIA
Click below to view Michael S Treinen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael S Treinen'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®
CFP®
Start date: 2012
Experience
Current
May 28, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 661 South Rivershore Lane Suite 200, Eagle, ID 83616-5397RIA
BD
CRD#: 31194
Eagle, ID
Current
May 28, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 661 South Rivershore Lane Suite 200, Eagle, ID 83616-5397RIA
BD
CRD#: 31194
Eagle, ID
Past
April 24, 2009 - June 9, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BOISE, ID
Past
April 24, 2009 - June 9, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOISE, ID
Past
August 1, 2008 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOISE, ID
Past
June 25, 2008 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOISE, ID
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
Alabama(6/9/2025)
RR
Alaska(5/28/2025)
RR
Arizona(5/28/2025)
RR
California(5/28/2025)
RR
Colorado(5/28/2025)
RR
Connecticut(5/28/2025)
RR
Florida(5/28/2025)
RR
Georgia(5/28/2025)
RR
Idaho(5/28/2025)
IAR
Idaho(5/28/2025)
RR
Indiana(5/29/2025)
RR
Kansas(5/28/2025)
RR
Maine(5/28/2025)
RR
Maryland(10/7/2025)
RR
Michigan(5/28/2025)
RR
Minnesota(6/9/2025)
RR
Mississippi(6/2/2025)
RR
Montana(5/28/2025)
RR
Nebraska(6/9/2025)
RR
Nevada(5/28/2025)
RR
New Jersey(5/28/2025)
RR
New Mexico(5/28/2025)
RR
New York(5/28/2025)
RR
North Carolina(10/17/2025)
RR
North Dakota(5/28/2025)
RR
Oklahoma(5/28/2025)
RR
Oregon(5/28/2025)
RR
Pennsylvania(5/28/2025)
RR
Tennessee(5/28/2025)
RR
Texas(5/28/2025)
IAR
Texas(5/28/2025)
RR
Utah(5/28/2025)
RR
Virginia(10/31/2025)
RR
Washington(5/28/2025)
RR
Wisconsin(5/28/2025)
RR
Wyoming(5/28/2025)
Exams
State Security Law 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)
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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.
Company Information
RBC CAPITAL MARKETS, LLC
Vice President - Wealth ManagementCRD#: 31194Eagle, ID 83616-5397TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
