Peter Sherman Mortimer

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-02-19
OH	RA	APPROVED	2006-02-03
IN	RA	APPROVED	2002-04-23
IL	RA	APPROVED	1998-08-03

TX RA
APPROVED_RES

Since 2010-02-19
OH RA
APPROVED

Since 2006-02-03
IN RA
APPROVED

Since 2002-04-23
IL RA
APPROVED

Since 1998-08-03

Branch Locations

Two Mid America Plaza Suite 500 South, Oakbrook Terrace, IL 60181-4715 • United States

La Grange, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Oakbrook Terrace	IL	03/2008	Present
City National Bank	Oakbrook Terrace	IL	01/2018	Present

03/2008 → Present

Rbc Capital Markets, Llc

Oakbrook Terrace, IL
01/2018 → Present

City National Bank

Oakbrook Terrace, IL

Other Businesses

(1) NAME OF ENTITY: Wade Fetzer Company ADDRESS: 1001 Wintergreen Lane Darien, IL 60561 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Holding company for vacation property CAPACITY: Owner - Passive START DATE: 01/01/2021 DUTIES: I am the advisor for their investment account and attend shareholder meetings HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-02-12
S63	Uniform Securities Agent State Law Examination	1989-01-04

S65 Uniform Investment Adviser Law Examination

2002-02-12
S63 Uniform Securities Agent State Law Examination

1989-01-04

View on SEC IAPD