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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MICHAEL SCOTT HEISICK

Advisor at RBC CAPITAL MARKETS, LLC

Walnut Creek, CA | Castro Valley, CA

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Search this name across graphsid dfx:ria:bd8fe6e0-bb33-fa63-e197-7c34a33f3725

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 27, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 20, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: May 20, 2003
First registration: Aug 27, 2003
Dual registered: yes, broker-dealer
Other names: MICHEAL SCOTT HEISICK|MIKE HEISICK
IAPD individual key: 3214807

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 6, 2017	n/a	yes	Walnut Creek, CA\|Castro Valley, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 3, 2009	Feb 6, 2017	no	PLEASANTON, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 19, 2004	Mar 23, 2009	no	SAN RAFAEL, CA\|SAN RAFAEL, CA\|PLEASANTON, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 27, 2003	Feb 18, 2004	no	REDWOOD SHORES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	RBC CAPITAL MARKETS, LLC	Feb 6, 2017	Feb 6, 2017	0	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO ADVISORS	Mar 23, 2009	Mar 3, 2009	-20	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CITIGROUP GLOBAL MARKETS INC.	Feb 18, 2004	Feb 19, 2004	1	Firm change	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Feb 6, 2017 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 3, 2009 to Feb 6, 2017factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 19, 2004 to Mar 23, 2009factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 27, 2003 to Feb 18, 2004factForm ADV

Dated events

No dated event names this entity yet.