Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Teresa? Claim Your ProfileTeresa Soppet is an investment professional with over 30 years of experience in the financial services industry. Teresa currently works at RBC Capital Markets, LLC and is registered to conduct business in multiple states across the US, including Illinois, Texas, and many others. Before joining RBC Capital Markets, LLC, Teresa worked at several reputable financial institutions, including Oppenheimer & Co. Inc., CIBC World Markets Corp., and Kidder, Peabody & Co. Incorporated.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
IL
02/05/2015 - Present
RBC Capital Markets, LLC (Palos Heights IL)
IL
01/03/2003 - 01/16/2009
OPPENHEIMER & CO. INC. (CHICAGO IL)
NY
03/27/1998 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
04/26/1995 - 03/18/1998
CIBC OPPENHEIMER CORP. (NEW YORK NY)
NJ
01/28/1995 - 05/11/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/14/1992 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
07/14/1992 - 10/23/1992
BEAR, STEARNS & CO. INC. (NEW YORK NY)
MA
10/14/1991 - 02/19/1992
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
10/14/1991 - 02/19/1992
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NY
12/03/1990 - 09/11/1991
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
05/26/1983 - 05/21/1990
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 01/16/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/10/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/04/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/08/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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