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Kristan Lee Janssen

Rbc Capital Markets, LLC

Fond Du Lac, WI

Plymouth, WI

CRD 3037957

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-08
WI RA APPROVED 2020-04-01
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • WI RA
    APPROVED
    Since 2020-04-01

Branch Locations

66 South Main Street, Fond Du Lac, WI 54935 • United States

Plymouth, WI • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Sheboygan WI 05/2009 11/2016
Wells Fargo Clearing Services, Llc Sheboygan WI 11/2016 04/2020
Rbc Capital Markets, Llc Fond Du Lac WI 04/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-12-19
S63 Uniform Securities Agent State Law Examination 2001-08-13
  • S65 Uniform Investment Adviser Law Examination
    2001-12-19
  • S63 Uniform Securities Agent State Law Examination
    2001-08-13

View on SEC IAPD

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U.S. BANCORP ADVISORS, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
J.P. MORGAN SECURITIES LLC

Nearby Investors

CARL HUGH RICKMEIER
CARL JOHN HELLEBERG
JOHN ARMAND WELSCH

Nearby Offices

U.S. BANCORP ADVISORS, LLC · Fond du Lac, WI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fond Du Lac, WI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fort Du Lac, WI

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