Stephanie Kei Chak

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
IL	RA	APPROVED	2025-01-15

IL RA
APPROVED

Since 2025-01-15

Branch Locations

200 Vesey St., New York, NY 10281 • 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
Citigroup	Bethesda	MD	07/2015	05/2019
Rbc Capital Markets, Llc	Chicago	IL	10/2024	Present
Liberty Mutual Insurance	Boston	MA	06/2020	12/2023
University Of North Carolina, Chapel Hill	Chapel Hill	NC	08/2019	05/2021
Chak Nursery Inc.	Morgan Hill	CA	01/2024	10/2024

07/2015 → 05/2019

Citigroup

Bethesda, MD
10/2024 → Present

Rbc Capital Markets, Llc

Chicago, IL
06/2020 → 12/2023

Liberty Mutual Insurance

Boston, MA
08/2019 → 05/2021

University Of North Carolina, Chapel Hill

Chapel Hill, NC
01/2024 → 10/2024

Chak Nursery Inc.

Morgan Hill, CA

Previous Registrations

2015-10-01 → 2019-06-03

Citigroup Global Markets Inc.

Bethesda, MD

Washington, DC

Washington, DC
2013-10-25 → 2014-04-02

Raymond James Financial Services Advisors, Inc

Washington, DC
2009-06-01 → 2013-10-02

Morgan Stanley

Washington, DC
2007-10-24 → 2009-06-01

Citigroup Global Markets Inc.

Washington, DC

Other Businesses

(1) Rental Property - North Carolina; Investment-related; Affiliation started 06/21/2013; Title: Owner; Duties: book keeping and administration ; No time is devoted to the rental each month during security trading hours; 2-4 hours are devoted to the rental each month outside of security trading hours. (2) Krav Maga Force; 1043 W. Madison St, Chicago, IL 60607. Current student and krav maga student instructor: Affiliation started 10/2023. Business expectation are 2-4 hrs a month. Responsibilities focus on learning and teaching krav maga self defense techniques. Unpaid position. (3) NAME OF ENTITY: Kalorama Property LLC ADDRESS: 104 Noble St Chapel Hill NC 27516 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Sep 26, 2025 CAPACITY: Owner DUTIES: Passive owner HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours