Michael Scott Heisick

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
  Pleasanton, CA
• 11/2016 → 02/2017
  Wells Fargo Clearing Services, Llc
  Pleasanton, CA
• 02/2017 → Present
  Rbc Capital Markets, Llc
  Oakland, CA

Previous Registrations

• 2009-03-03 → 2017-02-06
  Wells Fargo Clearing Services, Llc
  Pleasanton, CA
• 2004-02-19 → 2009-03-23
  Citigroup Global Markets Inc.
  San Rafael, CA
  San Rafael, CA
  Pleasanton, CA
• 2003-08-27 → 2004-02-18
  Ameriprise Financial Services, Llc
  Redwood Shores, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-08-26
• S63 Uniform Securities Agent State Law Examination
  2003-05-20

Other Names

• Micheal Scott Heisick
• Mike Heisick