Keith Fuetsch
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CRD#: 7027488
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Keith Fuetsch, CFP® was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2018. Keith had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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: NEVADA SPORTS NET; ADDRESS: N/A; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: LOCAL SPORTS BROADCAST OF UNIVERSITY OF NEVADA BASKETBALL GAME; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; START DATE: 11/2019; DUTIES: COMMENTATOR ON THE LOCAL BROADCAST; HOURS DEVOTED PER MONTH: 3; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (2) Name: Northern Nevada RAVE Family Foundation Address: 6400 South McCarran BLVD Building D-1 Suite 34 Reno, NV 89509 Business Description: Non-Profit Business is not investment related Projected Start Date: 04/07/20 Capacity: Board of Directors *, Treasurer Duties Performed: SECTION 8. DUTIES OF'TREASURER It shall be the duty of the Treasurer to: (a) Serve as custodian of the funds of the corporation; (b) Account for monthly bank statement reconciliation; (c) Approve documentation on all checks of more than $1500 which will be reviewed and signed-off on during the monthly bank statement reconciliation; (d) Provide a fiscal summary to the Board at each Board meeting; (e) Submit records of all monies collected and expended for annual review by the Board, and/or for professional audit; (� If required by the Board of Directors, give a bond for the faithful discharge of duties in such sum and with such surety or sureties as the Board of Directors shall determine; and (g) In general, perform all the duties incident to the office of Treasurer and such other duties as from time to time may be assigned by the President or by the Board of Directors. Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0 (3)NAME OF ENTITY: Reno Connection Network NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: Monthly Networking Group CAPACITY: Each month, Reno Connection Network sets up a free networking event for business men and women in Reno. We pick a different location at a local business to support the local business community. As a founding member, I meet with my fellow founders to pick a location and business sponsor for the next month's event and then invite guests to attend START DATE: 06/16/2021 DUTIES: Help organize and plan monthly networking events including finding a business that would like to host the event and inviting attendees HOURS DEVOTED PER MONTH: 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None (4) NAME OF ENTITY: Business Network International ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: International Referral Networking Group CAPACITY: Treasurer, Other START DATE: 7/28/2021 DUTIES: As the local BNI chapter treasurer I collect membership checks and deposit them into the chapter's bank account that is used to pay BNI corporate for membership, as well as pay for venue fees. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 5) NAME OF ENTITY: University of Nevada College of Business Alumni Association ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Alumni Association for the University of Nevada College of Business CAPACITY: Board of Directors * START DATE: 9.30.22 DUTIES: As a Board Member I would help plan fundraising events and raise awareness for the University of Nevada College of Business as well as engage with fellow alumni of the university. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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: 2021
Experience
Past
February 11, 2019 - March 23, 2023
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
RENO, NV
Past
November 30, 2018 - March 23, 2023
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
RENO, NV
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/30/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
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.
