MK
Melissa L. Krupa
RBC CAPITAL MARKETS
Stillwater, MN 55082-7055
Some features on this profile are disabled
CRD#: 5845645
MK
Professional summary
Melissa L Krupa, who also goes by Melissa L Cernohous, Melissa Cernohous, Melissa L. Krupa, Melissa Lyn Krupa, Melissa Krupa, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Stillwater, Minnesota.
Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Melissa has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Melissa L Cernohous | Melissa Cernohous | Melissa L. Krupa | Melissa Lyn Krupa | Melissa Krupa
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Melissa L Krupa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Melissa L Krupa'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
December 26, 2018 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 350 N. Main Street Suite 106, Stillwater, MN 55082-7055RIA
BD
CRD#: 31194
Stillwater, MN
Current
December 21, 2018 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 350 N. Main Street Suite 106, Stillwater, MN 55082-7055RIA
BD
CRD#: 31194
Stillwater, MN
Past
February 13, 2017 - October 16, 2018
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
Woodbury, MN
Past
February 10, 2017 - October 15, 2018
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
PLYMOUTH, MN
Past
February 3, 2017 - February 8, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOODBURY, MN
Past
February 3, 2017 - October 23, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
WOODBURY, MN
Past
August 21, 2015 - January 17, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
HUDSON, WI
Past
August 21, 2015 - January 17, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
HUDSON, WI
Past
May 7, 2015 - September 23, 2015
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
OAKDALE, MN
Past
May 7, 2015 - September 23, 2015
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
October 20, 2014 - April 22, 2015
EDWARD JONES
RIA
CRD#: 250
RIVER FALLS, WI
Past
September 23, 2014 - April 22, 2015
EDWARD JONES
BD
CRD#: 250
RIVER FALLS, WI
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(4/6/2020)
RR
Arizona(2/25/2019)
RR
California(2/25/2019)
RR
Colorado(2/25/2019)
RR
Delaware(3/14/2022)
RR
District of Columbia(3/14/2022)
RR
Florida(2/25/2019)
RR
Georgia(3/14/2022)
RR
Hawaii(2/25/2019)
RR
Idaho(3/14/2022)
RR
Illinois(3/27/2019)
RR
Indiana(3/14/2022)
RR
Iowa(3/14/2022)
RR
Kansas(2/28/2019)
RR
Kentucky(3/14/2022)
RR
Louisiana(3/14/2022)
RR
Maryland(3/14/2022)
RR
Massachusetts(1/14/2020)
RR
Michigan(11/21/2019)
RR
Minnesota(1/2/2019)
IAR
Minnesota(12/2/2022)
RR
Mississippi(3/14/2022)
RR
Missouri(3/14/2022)
RR
Montana(2/22/2019)
RR
Nebraska(2/22/2019)
RR
Nevada(3/4/2019)
RR
New Jersey(3/14/2022)
RR
New Mexico(10/26/2023)
RR
New York(3/14/2022)
RR
North Carolina(2/26/2019)
RR
North Dakota(3/14/2022)
RR
Ohio(2/22/2019)
RR
Oklahoma(2/25/2019)
RR
Oregon(2/28/2019)
RR
Pennsylvania(3/14/2022)
RR
Rhode Island(3/14/2022)
RR
South Dakota(2/26/2019)
RR
Tennessee(3/14/2022)
IAR
Texas(2/22/2019)
RR
Texas(2/26/2019)
RR
Utah(8/27/2021)
RR
Vermont(2/22/2019)
RR
Virginia(2/22/2019)
RR
Washington(1/6/2020)
RR
West Virginia(3/14/2022)
RR
Wisconsin(12/26/2018)
IAR
Wisconsin(2/24/2025)
RR
Wyoming(3/14/2022)
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.
