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Irwin Maisner

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Westport, CTCRD #1094089Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
43 yrs
States Registered
25 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 25 states
ArizonaCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaIllinoisMaineMarylandMassachusettsMinnesotaMontanaNew JerseyNew YorkNorth CarolinaOhioOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasVirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/26/2017
Series 63
Uniform Securities Agent State Law Examination
Passed 6/14/1984
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/15/1983
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 4/28/1983
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 2/8/2000
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 11/22/1999

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
12/15/2014Westport, CT
RBC CAPITAL MARKETS, LLCCurrent
12/15/2014Easton, CT
JANNEY MONTGOMERY SCOTT LLC
10/16/200312/23/2014Fairfield, CT

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Irwin Maisner has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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