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Jennifer Ricatti

Principal Financial Officer at RBC Capital Markets

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

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Jennifer Ricatti is Principal Financial Officer of RBC Capital Markets, LLC, a New York investment adviser managing $310B. Jennifer Ricatti has a current broker registration and no current investment-adviser registration and has passed the Series 27, Series 99TO and SIE.

Role at RBC Capital Markets

Title on Schedule A
Principal Financial Officer
Control
Jennifer Ricatti is a control person of RBC Capital Markets.
Ownership
An individual ownership band is not available in the source record.
Tenure
Jennifer Ricatti has held the filed role since May 2026.

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 99TO and SIE · 2023
  2. Passed Series 27 · 2015

Registrations and exams

Broker registration; no current adviser registration. Jennifer Ricatti has passed 3 qualifying exams.

Examinations

Series 2718 June 2015
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination

Individual record

Full name
Jennifer Lee Ricatti
CRD
4404128
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 Jennifer Ricatti work?

Jennifer Ricatti has been Principal Financial Officer of RBC Capital Markets, LLC since May 2026, and is a control person of the firm.

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

Does Jennifer Ricatti have a current investment-adviser registration?

Jennifer Ricatti 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 Jennifer Ricatti passed?

Jennifer Ricatti has passed 3 licensing exams: the Series 27, Series 99TO and SIE. The earliest, the Series 27, was passed in June 2015.

Source: IAPD individual record, checked 17 October 2026

Leadership at RBC Capital Markets

Sources

  1. IAPD individual record, CRD 4404128. 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 Jennifer Ricatti 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.