Doreen M. Buller
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.
Doreen Marie Buller, who also goes by Doreen Marie Andrews, was a registered financial professional .
Doreen is a previously registered financial professional and started their career in finance in 1980. Doreen had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 5, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2018 - December 27, 2018
RBC CAPITAL MARKETS, LLC
July 18, 2018 - December 27, 2018
RBC CAPITAL MARKETS, LLC
July 14, 2011 - July 18, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 14, 2011 - July 18, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 5, 2008 - July 21, 2011
UBS FINANCIAL SERVICES INC.
November 5, 2008 - July 21, 2011
UBS FINANCIAL SERVICES INC.
April 2, 2008 - November 3, 2008
CITIGROUP GLOBAL MARKETS INC.
September 22, 1998 - November 3, 2008
CITIGROUP GLOBAL MARKETS INC.
August 7, 1989 - December 19, 1989
DABNEY/RESNICK/IMPERIAL, LLC
August 14, 1987 - July 11, 1989
UBS FINANCIAL SERVICES INC.
August 31, 1984 - February 21, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
January 25, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
May 17, 1983 - January 9, 1984
JEFFERIES LLC
January 19, 1981 - January 27, 1982
LEHMAN BROTHERS INC.
July 11, 1980 - February 16, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1980 - July 18, 1980
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 8
Date: 8/31/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
Contact information
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.
