MH
Michael O. Healy
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CRD#: 716872
MH
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.
Michael Otis Healy was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1980. Michael had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 3, Series 7, Series 10, Series 9, Series 8 and Series 12 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) FINRA; ADDRESS: 1 LIBERTY PLAZA 165 BROADWAY NEW YORK, NY 10006; BUSINESS DESCRIPTION: REGULATORY AGENCY; NOT INVESTMENT RELATED; START DATE: 01/01/2009; CAPACITY: INDEPENDENT CONTRACTOR - ARBITRATOR; DUTIES: PANEL MEMBER WHEN CALLED; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) KAPPA BETA PHI; ADDRESS: PO BOX 60962 PASADENA, CA 91116-0962; BUSINESS DESCRIPTION: BUSINESS FRATERNITY; NOT INVESTMENT RELATED; START DATE: 09/01/2009; CAPACITY: BOARD OF DIRECTORS/TREASURER; DUTIES: HELP ORGANIZE ANNUAL EVENT, RECORD DUES RECEIPTS VS. EXPENSES; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) NATIONAL TAEKWONDO CENTER FOR SCHOLARSHIP FDN; ADDRESS: PO BOX 60962 PASADENA, CA 91116-0962; BUSINESS DESCRIPTION: NON-PROFIT SCHOLARSHIP FOUNDATION FOR UNDERPRIVILEGED STUDENTS; NOT INVESTMENT RELATED; START DATE: 11/01/2010; CAPACITY: BOARD OF DIRECTORS; DUTIES: WORK WITH COMMUNITY TO ESTABLISH SCHOLARSHIP FOR NEEDY STUDENTS OF TAEKWONDO; HOURS DEVOTED PER WEEK: 1.25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (4) CANCER SUPPORT COMMUNITY; ADDRESS: CSC PASADENA 200 EAST DEL MAR BLVD SUITE 118 PASADENA, CA 91105; BUSINESS DESCRIPTION: NON-PROFIT PROVIDING FREE SUPPORT, EDUCATION AND HOPE; NOT INVESTMENT RELATED; START DATE: 02/12/2013; CAPACITY: OFFICER/BOARD OF DIRECTORS; DUTIES: BOARD OF DIRECTORS AND RESOURCE DEVELOPMENT COMMITTEE; HOURS DEVOTED PER WEEK: 4; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (5) Pasadena Breakfast Forum; 551 South Hill Ave Pasadena, CA 91106; Starting 6/1/18Breakfast Speakers Club about 50 members. We meet twice per month September - June. Treasurer, Collect Dues and pay monthly bills HOURS DEVOTED PER WEEK: less than 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (6) NAME OF ENTITY: Pierpont Village Condo Home Owners Association ADDRESS: 2064 Eastman Ave - Suite 107 Ventura, CA 93003 NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Condo Home Owners Association CAPACITY: Board of Directors START DATE: 06/12/2021 DUTIES: Member of the board of a small HOA...only 14 units in the association HOURS DEVOTED PER MONTH: 1/2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
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®
NoneExperience
Past
February 11, 2009 - March 21, 2025
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PASADENA, CA
Past
February 11, 2009 - March 21, 2025
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
PASADENA, CA
Past
July 8, 1997 - March 2, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PASADENA, CA
Past
December 9, 1985 - March 2, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PASADENA, CA
Past
September 29, 1980 - December 13, 1985
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 4/18/1989
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/13/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
RR
Series 12
Date: 8/23/1983
NYSE Branch Manager ExaminationCurrent 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.
