DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Christopher J Dennis

Advisor at RBC CAPITAL MARKETS, LLC

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:143dea73-e2c2-318a-4695-8c7887f5a030

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jul 3, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 1, 2007
First registration: Jul 3, 2007
Dual registered: yes, broker-dealer
Other names: Christopher John Dennis
IAPD individual key: 5268316

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC CAPITAL MARKETS, LLC	National bd RIA	Jul 28, 2025	n/a	yes	HOUSTON, TX	Current employment
MORGAN STANLEY	Wirehouse	Dec 24, 2019	Jun 10, 2025	no	Houston, TX\|League City, TX\|League City, TX	Previous registration
ACG WEALTH INC.	Former SEC adviser	Nov 11, 2015	Dec 6, 2019	no	Houston, TX\|ATLANTA, GA\|Houston, TX	Previous registration
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Mar 31, 2011	Dec 31, 2015	no	Houston, TX	Previous registration
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Feb 18, 2011	Feb 18, 2011	no	Houston, TX	Previous registration
BURNHAM ASSET MANAGEMENT CORP	Former SEC adviser	Jan 25, 2011	Apr 1, 2011	no	HOUSTON, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 3, 2007	Aug 21, 2009	no	NEW YORK, NY\|HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	RBC CAPITAL MARKETS, LLC	Jun 10, 2025	Jul 28, 2025	48	Firm change	Wirehouse to ibd
ACG WEALTH INC.	MORGAN STANLEY	Dec 6, 2019	Dec 24, 2019	18	Firm change	RIA to wirehouse
WESTERN INTERNATIONAL SECURITIES	ACG WEALTH INC.	Dec 31, 2015	Nov 11, 2015	-50	Firm change after gap	Other
BURNHAM ASSET MANAGEMENT CORP	WESTERN INTERNATIONAL SECURITIES	Apr 1, 2011	Feb 18, 2011	-42	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	BURNHAM ASSET MANAGEMENT CORP	Aug 21, 2009	Jan 25, 2011	522	Firm change after gap	Other

Relationships

Registered with (6)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jul 28, 2025 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Dec 24, 2019 to Jun 10, 2025factForm ADV
→ ACG WEALTH INC.Registered adviserregistration: previous registration
Nov 11, 2015 to Dec 6, 2019factForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Mar 31, 2011 to Dec 31, 2015factForm ADV
→ BURNHAM ASSET MANAGEMENT CORPRegistered adviserregistration: previous registration
Jan 25, 2011 to Apr 1, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 3, 2007 to Aug 21, 2009factForm ADV

Dated events

Occurred
Jun 10, 2025
Advisor changed firm
Christopher J Dennis left Morgan Stanley for Rbc Capital Markets, Llc (registered 2025-07-28)
Form ADVobserved 6 days ago