Michael Alphonse Korb

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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Fond Du Lac, WI
• 11/2016 → 04/2020
  Wells Fargo Clearing Services, Llc
  Fond Du Lac, WI
• 04/2020 → Present
  Rbc Capital Markets, Llc
  Fond Du Lac, WI
• 04/2020 → Present
  City National Bank
  Fond Du Lac, WI

Previous Registrations

• 2000-07-19 → 2020-04-07
  Wells Fargo Clearing Services, Llc
  Fond Du Lac, WI
  Fond Du Lac, WI

Other Businesses

1) KORB INV, FAMILY FOUNDATION, NOT INV RELATED, FOND DU LAC, WI., START: 1/13/99, 2 HOURS/MONTH, 0 DURING TRADING, FAMILY BUSINESS. POWER OF ATTORNEY FOR MOTHER; INV RELATED; FON DU LAC, WI; START: 7/10/15; 1 HR/MO; 0 DURING TRADING. CO-TRUSTEE FOR MOTHER; INV RELATED; FOND DU LAC, WI; START: 1/1/17; 4 HRS/MO; 0 DURING TRADING. KORB INVESTMENTS, INVT RELATED, FOND DU LAC, WI, 10% OWNER, START DATE 6/5/1999, 1 HR PER MONTH, 0 HRS DURING TRADING. RAM LLC, NOT INVT RELATED, FOND DU LUC, WI, 4% OWNERSHIP, REAL ESTATE, START DATE 1/1/2006, 1 HR PER MONTH, 0 HRS DURING TRADING 2) Name: Blue Line Family Ice Center Address: 550 Fond du Lac Ave Fond du Lac, WI 54935 Business Description: Family Ice Center Business is not investment related Projected Start Date: 08/01/11 Capacity: Director, Treasurer Duties Performed: Advisory role for executive committee & member of board of directors. Attend regular board meetings & discuss club activities. Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 3) Name: Second Helpings Address: 5645 Dupree Drive Sandy Springs, GA 30327 Business Description: Food Rescue - Food Bank Business is not investment related Projected Start Date: 07/01/20 Capacity: Board of Directors * Duties Performed: Connect restaurant owners with agencies that can serve their food to the homeless. Devoted to this OBA per Month: 1 Hour Hours Devoted to this OBA during business hours: 0 (4) NAME OF ENTITY: Korb Family Foundation Inc.; ADDRESS: N7814 Sandy Beach Road, Fond du Lac, WI 54935; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Philanthropic Foundation; CAPACITY: Officer, Director; START DATE: 04/02/2020; DUTIES: As a member of the BOD we will make decisions on both investment / financial matters & also charitable contributions to needy organizations; HOURS DEVOTED PER MONTH: 01hr; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None; (5)NAME OF ENTITY: 626 PARTNERS, LLC; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: REAL ESTATE; CAPACITY: PARTNER; START DATE: 06/01/2020; DUTIES: LAND MAINTENANCE; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00;

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-12-11
• S63 Uniform Securities Agent State Law Examination
  1994-06-09

Other Names

• Michael A Korb
• Michael Alphonse Korb
• Michael Alphonse Korb