MS
Marc R. Sancton
RBC CAPITAL MARKETS
Bellaire, TX
Some features on this profile are disabled
CRD#: 6836251
MS
Marc Richard SanctonRBC CAPITAL MARKETS
Professional summary
Marc Richard Sancton is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Bellaire, Texas.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Marc has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
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) JEWISH FEDERATION OF GREATER HOUSTON; ADDRESS: 5603 S. BRAESWOOD BLVD, HOUSTON, TX 77096; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON PROFIT, HELPING THE HOUSTON JEWISH COMMUNITY; CAPACITY: COMMITTEE/COUNCIL MEMBER (NOT ASSOCIATED WITH THE BOARD OF DIRECTORS); START DATE: 12/1/2018; DUTIES: THE BUDGET AND FINANCE COMMITTEE IS RESPONSIBLE FOR MONITORING ACTUAL REVENUE AND EXPENSE AGAINST BUDGET, FOR OVERSIGHT OF THE CREATION OF THE ANNUAL BUDGET, AND FOR ADOPTING AND IMPLEMENTING POLICIES THAT COMPLY WITH VARIOUS LEGAL AND INTERNAL REVENUE CODE REQUIREMENTS; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (2) NAME OF ENTITY: JEWISH COMMUNITY CENTER OF HOUSTON ENDOWMENT FUND ADDRESS: 5601 South Braeswood Blvd Houston TX 77096 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Endowment Fund of Houston Jewish Community Center CAPACITY: Board of Directors * START DATE: 06/01/22 DUTIES: The board is responsible for the oversight of the Houston Jewish Community Center's investments. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (3) NAME OF ENTITY: Texas Childrens Bad Pants Open ADDRESS: 6621 Fannin Street Houston Texas 77401 INVESTMENT/NOT INVESTMENT RELATED: No DESCRIPTION: Foundation/Charitable Institution START DATE: Sep 01, 2025 CAPACITY: Committee/Council Member DUTIES: I sit on a committee that steers the annual golf tournament. WORKING TIME: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (4) NAME OF ENTITY: Congregation Beth Israel Of Houston, Texas ADDRESS: 5600 N Braeswood Blvd Houston tx 77096 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Jul 01, 2026 CAPACITY: Officer DUTIES: General Powers. The Board of Trustees shall have all powers and authority expressly granted to it by these Bylaws, and in addition shall have the entire charge, control and management of the affairs, business, assets, funds, records and properties of the Congregation, and shall be authorized to take all action that in its judgment will best promote the welfare of the Congregation. It shall establish and act on all matters of policy. Pending the next annual meeting of the Congregation and in accordance with these Bylaws, the Board of Trustees shall fill all vacancies in its membership and the Officers of the Congregation and shall perform such other duties as the membership of the Congregation in an annual or special meeting may prescribe. There are more specific powers listed on page 10 of the document, 14 of the file in section 4.06. HOURS DEVOTED PER MONTH: 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Marc Richard Sancton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marc Richard Sancton'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
November 13, 2017 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859RIA
BD
CRD#: 31194
Bellaire, TX
Current
September 28, 2017 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859RIA
BD
CRD#: 31194
HOUSTON, TX
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(1/2/2026)
RR
Arizona(11/15/2017)
RR
Arkansas(11/15/2017)
RR
California(11/15/2017)
RR
Colorado(11/15/2017)
RR
Connecticut(11/15/2017)
RR
Delaware(7/20/2018)
RR
Florida(11/15/2017)
RR
Georgia(11/15/2017)
RR
Illinois(11/15/2017)
RR
Iowa(11/15/2017)
RR
Louisiana(11/15/2017)
RR
Massachusetts(7/18/2023)
RR
Minnesota(10/6/2025)
RR
Missouri(11/15/2017)
RR
Montana(5/29/2020)
RR
Nevada(1/12/2021)
RR
New Jersey(11/15/2017)
RR
New Mexico(11/15/2017)
RR
New York(11/15/2017)
RR
North Carolina(11/16/2017)
RR
Ohio(6/30/2025)
RR
Oklahoma(11/15/2017)
RR
South Carolina(7/31/2026)
RR
Texas(11/13/2017)
IAR
Texas(11/13/2017)
RR
Virginia(11/16/2021)
RR
Washington(11/15/2017)
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 GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
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)
Loading...
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
8,781
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 | 511,871 |
| AUM (Assets Under Management) | $ 310,428,968,904 |
Disclosures
| Regulatory Event | 367 |
| 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.
