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Sean O'connor

Chief Compliance Officer, RBC Wealth Management - U.S. at RBC Capital Markets

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Sean O'connor is Chief Compliance Officer, RBC Wealth Management - U.S. of RBC Capital Markets, LLC, a New York investment adviser managing $310B. Sean O'connor has a current broker registration and no current investment-adviser registration and has passed the Series 27 and Series 14.

Role at RBC Capital Markets

Title on Schedule A
Chief Compliance Officer, RBC Wealth Management - U.S.
Control
Sean O'connor is a control person of RBC Capital Markets.
Ownership
An individual ownership band is not available in the source record.
Tenure
Sean O'connor has held the filed role since September 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 14 · 2024
  2. Passed Series 27 · 2022

Registrations and exams

Broker registration; no current adviser registration. Sean O'connor has passed 2 qualifying exams.

Examinations

Series 1413 September 2024
Name
Compliance Officer Examination
Series 2727 October 2022
Name
Financial and Operations Principal Examination

Individual record

Full name
Sean Walter O'connor
CRD
6578918
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 Sean O'connor work?

Sean O'connor has been Chief Compliance Officer, RBC Wealth Management - U.S. of RBC Capital Markets, LLC since September 2024, and is a control person of the firm.

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

Does Sean O'connor have a current investment-adviser registration?

Sean O'connor has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Sean O'connor passed?

Sean O'connor has passed 2 licensing exams: the Series 27 and Series 14. The earliest, the Series 27, was passed in October 2022.

Source: IAPD individual record, checked 18 October 2026

Leadership at RBC Capital Markets

Sources

  1. IAPD individual record, CRD 6578918. 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 18 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 Sean O'connor 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.