RBC Clearing & Custody
Mark McKinney has extensive experience in the financial industry, holding various roles in different companies. Mark most recently served as the Director of Regulatory Risk and Compliance at RBC Correspondent Services and RBC Advisor Services. Prior to that, they worked as a FINRA Dispute Resolution Arbitrator at FINRA. Mark also held positions at Ameriprise Financial Services, Inc., where they served as a Regional Registered Principal, Field Registered Principal, and Manager of Field Office Inspections. Before that, they were a Controls Manager at AXA Advisors. Mark began their career at Ameriprise Financial Services, Inc. as the Director of Financial Planning and later as a Director. Overall, Mark has a strong background in finance and regulatory compliance.
Mark McKinney completed their Bachelor's degree in Liberal Arts from the University of Minnesota from 1983 to 1988. Prior to that, they attended Wayzata High School from 1980 to 1983. In addition, they obtained a certification in CRPC from the College of Financial Planning in 2008.
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RBC Clearing & Custody
RBC Clearing & Custody provides comprehensive clearing, custody and execution services to a variety of broker-dealers, including full-service wealth management firms, traditional retail brokerages, insurance companies, institutional-based firms and FinTech businesses. We also provide comprehensive custody and brokerage services to a variety of registered investment advisors, including “break-away” brokers, wealth management firms, institutional-based firms and dually registered firms. We go way beyond helping our clients with the operational side of their business. At RBC Clearing & Custody we deliver the products and services necessary to support financial professionals. We offer the following capabilities to help our clients grow and protect their business: • Retail client wealth management expertise and insight • World-class resources and access to capital markets • Wealth management and business expansion capabilities • Innovative and customizable technology platforms • Professional marketing resources A leader in the U.S. brokerage industry since 1909 and a custody and clearing leader since 1979, RBC Clearing & Custody is proud to be a values based organization that shares the same stewardship principles as our parent company, RBC. Our clients enjoy greater confidence knowing their dedicated clearing and custody partner is part of a respected institution distinguished by a long heritage of financial strength and steadfast dedication to clients. Our firm is a division of RBC Capital Markets, LLC, a wholly owned subsidiary of, and separate legal entity from, Royal Bank of Canada. Member NYSE/FINRA/SIPC. For more information, please visit www.rbcclearingandcustody.com. The information provided on this page is for general purposes only and does not constitute personal financial advice. For more information about our legal terms of use, please visit www.rbc.com/legal/#social_media.