Michael Kern Heiser

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

• 02/2012 → Present
  Rbc Capital Markets, Llc
  Minneapolis, MN

Previous Registrations

• 2010-08-24 → 2012-01-23
  Wells Fargo Clearing Services, Llc
  San Diego, CA
• 2009-06-01 → 2010-09-14
  Morgan Stanley
  San Diego, CA
  Carlsbad, CA
  La Jolla, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  San Diego, CA
  Rancho Sante Fe, CA
  San Diego, CA
  Carlsbad, CA
  La Jolla, CA
• 2001-07-31 → 2007-04-02
  Morgan Stanley Dw Inc.
  Lajolla, CA
  San Diego, CA

Other Businesses

(1) NAME OF ENTITY: Staring Lake Clubhomes HOA ADDRESS: Home Owners Association INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Home Owners Association CAPACITY: Board of Directors * START DATE: 10/01/21 DUTIES: HOA Board Member HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: Eden Prairie Police Department ADDRESS: 8080 Mitchell Rd, Eden Prairie, MN 55344 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Police Department CAPACITY: Other - Police Reserve Officer - Volunteer START DATE: 2/1/22 DUTIES: Eden Prairie Police Reserves is an auxiliary unit of the Police Department. Police Reserve officers assist sworn officers by performing community service tasks and non-criminal police functions. Reserves also assist in natural disasters and other emergencies that require additional personnel. Eden Prairie Police Reserves are volunteers and do not carry firearms. Reserve officers are required to attend specialized training and become CPR/First Aid-certified. Reserves must work at least one weekend evening per month, attend monthly training meetings, and respond when available to emergency calls. HOURS DEVOTED PER MONTH: 2.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-02-01
• S63 Uniform Securities Agent State Law Examination
  1995-03-17

Other Names

• Michael K Heiser