Heather S. Krause
RBC CAPITAL MARKETS | Senior Vice President-Financial Advisor, Assistant Branch Director
Seattle, WA 98101
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CRD#: 5726935
Professional summary
Heather Seymour Krause, AIF®, who also goes by Heather Lynne Krause, Heather Lynne Seymour Krause, Heather Lynne Seymour, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Seattle, Washington.
Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Heather has worked at 1 firm and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Loans/credit services
Financial planning
Philanthropic services
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Heather Lynne Krause | Heather Lynne Seymour Krause | Heather Lynne Seymour
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: Edmonds Senior Center Address of Business: 220 Railroad Avenue, Edmonds WA 98020 Business Descriptions: A non-profit with a mission to enrich the social, physical, and intellectual well-being of seniors. Is investment-related: No Projected Start Date: 12/01/15 Projected End Date: 01/01/19 Capacity: Board of Directors Duties Performed: Board participation. 12 hours devoted to this OBA per month 0 hours devoted during security trading hours per month (2) Name of Entity - None now--may form an LLC later Address - 8330 18th Ave NW Seattle, WA 98117 Business Description - Rental house Business is not investment related Projected Start Date: 08/30/2019 Capacity: Owner - Owner - Active Duties Performed: Owner, upkeep if needed Hours Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 (3) Name of Entity: Grouse LLC Address - 1818 Westlake Ave N, Ste 423 Seattle, WA 98109 Business Description - LLC for a rental property Business is not investment related Projected Start Date 03/09/20 Capacity: Owner - Active, Partner Duties Performed: To help manage the property. Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0 (4)NAME OF ENTITY: Corvallis Home ADDRESS : 1125 NW 2oth St. Corvallis, OR 97330 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental CAPACITY: Owner - Active START DATE: 09/01/2023 DUTIES: I own it. My son will live in it with a few friends. HOURS DEVOTED PER MONTH: Very little HOURS DEVOTED DURING SECURITIES HOURS PER MONTH:0 (5) NAME OF ENTITY: Franklin Alumni Association and Foundation ADDRESS: P.O. Box 28276 Seattle, WA 98118 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Non-profit CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 03/05/2024 DUTIES: Participate on a sub-committee of the Events Committee HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Heather Seymour Krause's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heather Seymour Krause'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®
Experience
Current
January 14, 2010 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 401 Union Street Suite 3600, Seattle, WA 98101Office #3: 303 5th Avenue South Suite 100, Edmonds, WA 98020-3626RIA
BD
CRD#: 31194
Seattle, WA
Current
December 11, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 401 Union Street Suite 3600, Seattle, WA 98101Office #2: 303 5th Avenue South Suite 100, Edmonds, WA 98020-3626RIA
BD
CRD#: 31194
Seattle, WA
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
Alaska(11/10/2023)
RR
Arizona(2/23/2010)
RR
California(2/23/2010)
RR
Connecticut(9/14/2023)
RR
Delaware(8/31/2020)
RR
Florida(2/23/2010)
RR
Hawaii(1/24/2014)
RR
Idaho(11/11/2014)
RR
Maryland(2/23/2010)
RR
Massachusetts(11/3/2017)
RR
Minnesota(2/21/2025)
RR
New Hampshire(9/3/2024)
RR
North Carolina(12/19/2012)
RR
Ohio(12/13/2019)
RR
Oregon(2/23/2010)
RR
Texas(2/23/2010)
IAR
Texas(2/5/2015)
RR
Utah(3/26/2025)
RR
Washington(1/14/2010)
IAR
Washington(1/14/2010)
RR
Wyoming(12/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
RBC CAPITAL MARKETS, LLC
Senior Vice President-Financial Advisor, Assistant Branch DirectorCRD#: 31194Seattle, WA 98101TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
