JR
Jennifer M. Ruppert
RBC CAPITAL MARKETS
Vienna, VA 22182
Some features on this profile are disabled
CRD#: 5762344
JR
Professional summary
Jennifer Marie Ruppert, who also goes by Jennifer Marie Burns, Jennifer Marie Umbs, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Vienna, Virginia.
Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Jennifer has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jennifer Marie Burns | Jennifer Marie Umbs
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. 9/17/2019 - Northwest Financial Group - Investment Related - Non-Variable Insurance--Trails Only.
2. 9/24/2019 - Northwest Financial Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin. - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 99% - I provide administrative services through Northwest Financial Advisors, LLC, an independent investment advisor firm. I started this business activity in September 2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
3. 11/5/2019 - Northwest Financial Advisors, LLC - Investment Related - DBA for LPL Business (entity for LPL business).
CRS (Client Relationship Summary) - RIA
Click below to view Jennifer Marie Ruppert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jennifer Marie Ruppert'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
October 3, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 8010 Towers Crescent Drive 4th Floor, Vienna, VA 22182RIA
BD
CRD#: 31194
Vienna, VA
Current
October 3, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 8010 Towers Crescent Drive 4th Floor, Vienna, VA 22182RIA
BD
CRD#: 31194
Vienna, VA
Past
September 23, 2019 - October 7, 2025
NORTHWEST FINANCIAL ADVISORS LLC
RIA
CRD#: 166769
HERNDON, VA
Past
September 17, 2019 - October 7, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
HERNDON, VA
Past
November 1, 2018 - September 3, 2019
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
FAIRFAX, VA
Past
April 22, 2016 - October 31, 2018
RETIREONE INVESTMENT SERVICES, LLC
BD
CRD#: 269923
FAIRFAX, VA
Past
December 18, 2015 - April 22, 2016
SANDERS MORRIS LLC
BD
CRD#: 20580
FAIRFAX, VA
Past
December 16, 2015 - November 1, 2018
EDELMAN FINANCIAL SERVICES, LLC
RIA
CRD#: 113299
FAIRFAX, VA
Past
April 17, 2014 - January 21, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LORTON, VA
Past
April 17, 2014 - January 21, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LORTON, VA
Past
December 19, 2012 - January 2, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
HERSHEY, PA
Past
December 19, 2012 - January 2, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
HERSHEY, PA
Past
November 23, 2010 - December 4, 2012
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
HARRISBURG, PA
Past
July 15, 2010 - December 4, 2012
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
HARRISBURG, PA
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
Virginia(10/3/2025)
IAR
Virginia(10/3/2025)
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.
