PM
Peter M. Maiurro
RBC CAPITAL MARKETS
Colorado Springs, CO 80903-2278
Some features on this profile are disabled
CRD#: 7566893
PM
Professional summary
Peter Michael Maiurro, who also goes by Peter Maiurro, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Colorado Springs, Colorado.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Peter has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Maiurro
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.
Tempus Partners, LLC is a single member LLC that I have used for occasional nonprofit and leadership consulting. This business is NOT investment related. The address is 920 Broadview Place, Colorado Springs, CO 80904 I am the Sole Manager of the LLC I started this LLC in April of 2022 I am occasionally asked by various nonprofit organizations, mostly in Colorado Springs and Denver, for limited project management related to partnership development, media engagement, and donor relations. HOURS DEVOTED PER MONTH: 10 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 2) ENTITY: Cultural Office of The Pikes Peak Region (COPPeR) ADDRESS: 121 S. Tejon St, Ste 111 Colorado Springs, CO 80903 INVESTMENT RELATED: No DESCRIPTION: The Cultural Office of the Pikes Peak Region (a.k.a. COPPeR) is the nonprofit local arts agency CAPACITY: Board of Directors * START DATE: 01/01/20 DUTIES: Serve as member of the board of directors who direct strategy and oversee the Executive Director HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) ENTITY: Downtown Partnership of Colorado Springs ADDRESS: 111 S. Tejon St, Suite 703 Colorado Springs, CO 80903 INVESTMENT RELATED: No DESCRIPTION: Downtown Partnership is the leading catalytic champion for Downtown Colorado Springs CAPACITY: Board of Directors * START DATE: 01/01/19 DUTIES: Help manage organization strategy and guide/oversee the CEO. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) ENTITY: Goodwill of Colorado Foundation ADDRESS: 1460 Garden of the Gods Rd, Colorado Springs, CO 80907 INVESTMENT RELATED: No DESCRIPTION: Goodwill of Colorado provides career development resources and life-skills training for more than 12 CAPACITY: Board of Directors * START DATE: 01/02/23 DUTIES: supporting the organization with strategy development, community engagement, networking, and oversight of fundraising activities. HOURS DEVOTED PER MONTH: 0.2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 5) ENTITY: PGA REACH Foundation Colorado ADDRESS: 6630 Bear Dance Dr. Larkspur, CO 80118 INVESTMENT RELATED: No DESCRIPTION: The PGA REACH Colorado Foundation supports youth, military, and diverse populations through golf. CAPACITY: Board of Directors START DATE 05/05/2023 DUTIES: Serve as advisor to the Executive Director and engage in strategic planning process for the evolution of the organization. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 2 6)ENTITY: The Boettcher Foundation ADDRESS: 600 17th Street, Suite 2210, Denver, CO, 80202 INVESTMENT RELATED: No DESCRIPTION: Foundation/Charitable Institution START DATE: 01/01/2025 CAPACITY: Will serve as one of seven directors of the Board that oversees fundraising strategy and implementation for the Boettcher Scholars Fund. This entity will receive gifts from individuals and will then support the Boettcher Foundation and grow/enhance the Boettcher Scholarship. We will convene twice per year for meetings. DUTIES: This Board will convene twice per year to discuss fundraising strategy and distribution of funds to Boettcher Foundation for the growth and enhancement of the Boettcher Scholarship. HOURS DEVOTED PER MONTH: 0 - 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 NAME: Spruce Community School ADDRESS: does not yet have a physical address - Colorado Springs, CO, 80903 INVESTMENT RELATED: No DESCRIPTION: Educational Institution START DATE: 01/04/2025 CAPACITY: Board of Directors DUTIES: Members of the board of directors will help shape. Primary work as a board member will be strategy, helping the school founder craft and maintain budget, help create awareness to generate enrollment, and create positive awareness in the community. HOURS DEVOTED PER MONTH: 0 - 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4
CRS (Client Relationship Summary) - RIA
Click below to view Peter Michael Maiurro's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Michael Maiurro'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
September 8, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 102 South Tejon Suite 460, Colorado Springs, CO 80903-2278RIA
BD
CRD#: 31194
Colorado Springs, CO
Current
August 10, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 102 South Tejon Suite 460, Colorado Springs, CO 80903-2278RIA
BD
CRD#: 31194
Colorado Springs, CO
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
Arizona(8/15/2024)
RR
California(9/28/2022)
RR
Colorado(8/15/2022)
IAR
Colorado(9/8/2022)
RR
Connecticut(9/23/2025)
RR
Florida(3/22/2024)
RR
Georgia(9/23/2025)
RR
Idaho(9/28/2022)
RR
Indiana(3/22/2024)
RR
Kansas(9/28/2022)
RR
Maine(10/7/2022)
RR
Michigan(6/9/2025)
RR
Minnesota(9/28/2022)
RR
Montana(7/3/2025)
RR
New Hampshire(9/28/2022)
RR
New Mexico(9/28/2022)
RR
North Carolina(9/28/2022)
RR
Oregon(3/25/2025)
RR
South Dakota(9/23/2025)
RR
Texas(9/28/2022)
IAR
Texas(9/28/2022)
RR
Utah(12/18/2023)
RR
Virginia(9/28/2022)
RR
Washington(3/22/2024)
RR
Wyoming(9/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/10/2022
General Securities Representative ExaminationGeneral 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 BX, 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
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)
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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.
Company Information
RBC CAPITAL MARKETS, LLC
CRD#: 31194Colorado Springs, CO 80903-2278TRUST BUT VERIFY
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