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Cindy Schreiner

US Wealth Management Principal Operations Officer at RBC Capital Markets

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Cindy Schreiner is US Wealth Management Principal Operations Officer of RBC Capital Markets, LLC, a New York investment adviser managing $310B. Cindy Schreiner has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at RBC Capital Markets

Title on Schedule A
US Wealth Management Principal Operations Officer
Control
Cindy Schreiner is a control person of RBC Capital Markets.
Ownership
An individual ownership band is not available in the source record.
Tenure
Cindy Schreiner has held the filed role since April 2024.

The firm

RBC Capital Markets, LLC
New York, NY

Form ADV filed 30 September 2026

$310B AUM283,910 clients5,908 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 27 · 2024
  2. Passed Series 99 · 2012
  3. Passed Series 24 · 1995
  4. Passed Series 7 and Series 63 · 1994

Registrations and exams

Broker registration; no current adviser registration. Cindy Schreiner has passed 5 qualifying exams.

Examinations

Series 6320 December 1994
Name
Uniform Securities Agent State Law Examination
Series 2724 February 2024
Name
Financial and Operations Principal Examination
Series 249 January 1995
Name
General Securities Principal Examination
Series 9915 September 2012
Name
Operations Professional Examination
Series 719 December 1994
Name
General Securities Representative Examination

Individual record

Full name
Cindy Louise Schreiner
CRD
1470050
Firm
RBC Capital Markets, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Cindy Schreiner work?

Cindy Schreiner has been US Wealth Management Principal Operations Officer of RBC Capital Markets, LLC since April 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Cindy Schreiner have a current investment-adviser registration?

Cindy Schreiner has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Cindy Schreiner passed?

Cindy Schreiner has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 99 and Series 27. The earliest, the Series 7, was passed in December 1994.

Source: IAPD individual record, checked 17 October 2026

Leadership at RBC Capital Markets

Sources

  1. IAPD individual record, CRD 1470050. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of RBC Capital Markets, LLC, filed 30 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Cindy Schreiner or RBC Capital Markets, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.