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Broker-dealer firm · Calgary, Alberta, Canada

ATB Capital Markets USA Inc.

SEC-registered investment adviser · CRD 155053 · SEC 801-128511

At a glance

ATB Capital Markets USA Inc. is an SEC-registered investment adviser based in Calgary, Alberta, Canada, with $0 in regulatory assets under management as of its Form ADV filed August 18, 2026. By Form ADV it is a broker-dealer firm, ranked 387th of 391 broker-dealer firms and 17,121st of 17,210 SEC-registered advisers by assets.

Main office 403-539-8600atbcm.atb.comAs filed on Form ADV

Regulatory AUM
$0M
Rank among broker-dealer firms
#387 of 391
Rank among all SEC RIAs
#17,121 of 17,210
Clients
0
Accounts
0
Discretionary
0% of AUM
Employees
31
Advisory staff
17
Offices
2

Owners and executives on its Form ADV

Custody and brokerage

Custodian

ATB Capital Markets USA Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

ATB Capital Markets USA Inc. is a hybrid RIA: 9 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: ATB Capital Markets Corp., ATB Securities Inc. and Cormark Securities (USA) Limited.

  • ATB Capital Markets Corp.
  • ATB Securities Inc.
  • Cormark Securities (USA) Limited

Its Form ADV brochure (filed June 2026) names ATB Securities as the broker-dealer its advisers are registered with.

of ATB CM in its capacity as a SEC-registered broker-dealer, are associated persons of ATB Securities Inc., the CIRO-member Canadian investment dealer, or are associated persons of ATB Financial, the Alberta - owned financial institution.

Other hybrid RIAs

Disciplinary disclosures

ATB Capital Markets USA Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Other services

How it’s paid

  • Other

Form ADV and brochures on the SEC’s adviser search ↗atbcm.atb.com ↗

AtlasMembers

The full record on ATB Capital Markets USA Inc.

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, 2 years of filings
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Growth over one, three and five years
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Rank against 28 peers of its type and size
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Owners and executives, with titles and stakes
3 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
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Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does ATB Capital Markets USA Inc. manage?

ATB Capital Markets USA Inc. reports $0 in regulatory assets under management, on its Form ADV filed August 18, 2026.

What kind of firm is ATB Capital Markets USA Inc.?

ATB Capital Markets USA Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons.

Does ATB Capital Markets USA Inc. have any disciplinary history?

ATB Capital Markets USA Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is ATB Capital Markets USA Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-18), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →