Lisa D. Hellerich
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.
Lisa Dick Hellerich, who also goes by Lisa Dick Anderson, Lisa Helene Dick, Lisa Dick Zinne, Lisa Zinne, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1979. Lisa had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2013 - November 24, 2015
RBC CAPITAL MARKETS, LLC
May 17, 2013 - November 24, 2015
RBC CAPITAL MARKETS, LLC
June 1, 2009 - June 13, 2013
MORGAN STANLEY
June 1, 2009 - June 13, 2013
MORGAN STANLEY
November 14, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 14, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 12, 1999 - November 14, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 12, 1998 - November 14, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 6, 1994 - July 12, 1999
BA INVESTMENT SERVICES, INC.
August 29, 1986 - January 4, 1994
FIRST INTERSTATE INVESTMENTS,INC.
July 10, 1984 - October 16, 1984
EQUITEC SECURITIES COMPANY
February 28, 1984 - November 17, 1986
SAN DIEGO SECURITIES INCORPORATED
January 22, 1980 - January 26, 1982
PRUDENTIAL EQUITY GROUP, LLC
September 7, 1979 - January 17, 1980
CIBC WORLD MARKETS CORP.
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
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.
