← 栏目首页 | 数据源：SEC Form ADV Part 1（FOIA 全量数据包）· 该机构最新一次申报（11/21/2024）
RBC CAPITAL MARKETS, LLC · 所有者与执行高管（CRD 31194）
机构事实页：RBC CAPITAL MARKETS, LLC 事实页 → | 官方原文：IAPD firm-summary/31194
Schedule A · 直接所有者（16 条）
| 名称 | 类型 | 职务 / 身份 | 控制人 | 持股方式 |
|---|---|---|---|---|
| RBC USA HOLDCO CORPORATION | 境内实体 | DIRECT OWNER | 是 | E |
| SAGISSOR, THOMAS STEVEN | 个人 | PRESIDENT OF RBC WEALTH MANAGEMENT | 是 | NA |
| THURLOW, JOHN J | 个人 | CHIEF OPERATING OFFICER & CHAIRMAN OF THE BOARD | 是 | NA |
| THORNE, BRETT LANE | 个人 | PRESIDENT, RBC CLEARING & CUSTODY | 是 | NA |
| MURPHY, THOMAS N | 个人 | US CAPITAL MARKETS PRINCIPAL OPERATIONS OFFICER | 是 | NA |
| GIEGERICH, ROBERT ARTHUR | 个人 | PRINCIPAL FINANCIAL OFFICER | 是 | NA |
| PENN, JOHN CHRISTOPHER | 个人 | GENERAL COUNSEL | 是 | NA |
| SENNE, ANN MARIE | 个人 | DIRECTOR | 是 | NA |
| CARLESIMO, PAUL ADAM | 个人 | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 是 | NA |
| TAYLOR, SUZANNE MARIE | 个人 | CHIEF COMPLIANCE OFFICER OF WM-US' REGISTERED INVESTMENT ADVISOR | — | NA |
| GLASSMAN, DORJE TSERING | 个人 | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 是 | NA |
| LISCHIN, MATTHEW CODY | 个人 | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 是 | NA |
| ESPENAK, KRISTEN ELIZABETH | 个人 | CHIEF RISK OFFICER, USA | 是 | NA |
| SCHREINER, CINDY LOUISE | 个人 | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 是 | NA |
| SPERDUTO, VITO ANTONIO | 个人 | DIRECTOR, CEO OF U.S. CAPITAL MARKETS | 是 | NA |
| O'CONNOR, SEAN WALTER | 个人 | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 是 | NA |
Schedule B · 执行高管（2 条）
| 名称 | 职务 | 控制人 |
|---|---|---|
| ROYAL BANK OF CANADA | ULTIMATE OWNER | 是 |
| RBC US GROUP HOLDINGS LLC | INDIRECT OWNER | 是 |
口径：Form ADV 为投资顾问向 SEC/IARD 的申报，所有者与高管为机构自报；本库取该机构在数据区间内的最新一次申报快照（官方数据包截至 2024-12-31），此后的人事变化不在本页反映。持股方式为 ADV 原始代码。
