Monica T. Mccarthy
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.
Monica Terese Mccarthy, who also goes by Monica Christman, Monica Terese Mccarthystumpf, Monica Terese Stumpf, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1980. Monica had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2014 - February 12, 2019
RBC CAPITAL MARKETS, LLC
June 27, 2014 - February 12, 2019
RBC CAPITAL MARKETS, LLC
June 19, 2013 - July 11, 2014
J.P. MORGAN SECURITIES LLC
June 19, 2013 - July 11, 2014
J.P. MORGAN SECURITIES LLC
June 7, 2011 - June 18, 2013
PRINCIPAL SECURITIES, INC.
May 27, 2011 - June 18, 2013
PRINCIPAL SECURITIES, INC.
February 19, 2008 - July 22, 2009
EQUITABLE DISTRIBUTORS, LLC
April 1, 2006 - February 11, 2008
METLIFE INVESTORS DISTRIBUTION COMPANY
August 18, 2004 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
April 26, 1994 - August 4, 2004
PACIFIC SELECT DISTRIBUTORS, LLC
October 26, 1993 - April 21, 1994
PFS INVESTMENTS INC.
December 21, 1990 - November 29, 1991
PFS INVESTMENTS INC.
September 3, 1987 - January 10, 1989
U.S. BANCORP ADVISORS, LLC
October 27, 1986 - March 12, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 1986 - June 19, 1986
THE SEIDLER COMPANIES INCORPORATED
August 15, 1983 - July 2, 1985
DAIN RAUSCHER INCORPORATED
September 25, 1980 - August 15, 1983
BOETTCHER & COMPANY, 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: 11/14/1981
Interest Rate Options ExaminationCurrent 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.
