Steven E Gatto

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2008 → 04/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lake Forest, IL
• 12/2009 → 04/2021
  Bank Of America, N.A.
  Lake Forest, IL
• 04/2021 → Present
  Rbc Capital Markets, Llc
  Lake Forest, IL
• 05/2021 → Present
  City National Bank
  Lake Forest, IL

Previous Registrations

• 2008-11-21 → 2021-04-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lake Forest, IL
• 2007-04-02 → 2008-12-01
  Morgan Stanley & Co. Llc
  Libertyville, IL
• 2002-02-22 → 2007-04-02
  Morgan Stanley Dw Inc.
  Libertyville, IL
  Libertyville, IL

Other Businesses

1) I*43113 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CLARK STREET RENTAL PROPERTY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 84711 SOUTH HILL ROAD, MARENGO, ILLINOIS 60152 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 7/1/2011 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SINGLE FAMILY RENTAL PROPERTY. MY ROLE IS INVESTOR AND CONSULTANT. 2) NAME OF ENTITY: Tenmile Range LLC ADDRESS: 980 Burridge Ct, Libertyville, IL, 60048 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE:04/04/2025 CAPACITY: Owner DUTIES: Owner HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S66 Uniform Combined State Law Examination
  2001-08-14

Other Names

• Steve Gatto