Susan L Sechter

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
TX	RA	APPROVED	2023-05-08
DE	RA	APPROVED	2023-04-24

TX RA
APPROVED

Since 2023-05-08
DE RA
APPROVED

Since 2023-04-24

Branch Locations

Wilmington, DE • United States

1 Dickinson Drive Suite 100, Chadds Ford, PA 19317-9665 • 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
Rbc Capital Markets Llc	Chadds Ford	PA	07/2022	Present
Breakwater Accounting & Advisory Group	Wilmington	DE	02/2019	07/2022
Mattern	Chadds Ford	PA	09/2018	02/2019
Black Slaughter & Black Pa	Greensboro	NC	09/2014	08/2018

07/2022 → Present

Rbc Capital Markets Llc

Chadds Ford, PA
02/2019 → 07/2022

Breakwater Accounting & Advisory Group

Wilmington, DE
09/2018 → 02/2019

Mattern

Chadds Ford, PA
09/2014 → 08/2018

Black Slaughter & Black Pa

Greensboro, NC

Other Businesses

Heathergreen Commons Homeowners' Association, 2200 Heather Court, Wilmington DE 19809. This is a non-investment related business. I have served as a non-compensated Council member on the all-volunteer board of the homeowners' association since December 1, 2021 and my term expires December 1 2026. I am a resident of this community. As a council member I attend organizational meetings of the council and special meetings of the association, including an annual meeting. Time devoted to this association is minimal and strictly outside of my normal working hours (8am- 4:30pm, M-F) and no hours are devoted to this organization during securities trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-04-19
S63	Uniform Securities Agent State Law Examination	1986-06-25

S66 Uniform Combined State Law Examination

2023-04-19
S63 Uniform Securities Agent State Law Examination

1986-06-25

Other Names

Susan Leigh Cockman
Susan Cockman Sechter
Susan C Sechter

View on SEC IAPD