DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

JAMES COLLIN MCKENNA

Advisor at RBC CAPITAL MARKETS, LLC

Bow, NH | CONCORD, NH

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:178adbdf-b603-5ce6-8c3f-14d56d034f4c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2003 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: Nov 28, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 28, 1997
First registration: Jan 29, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 2932687

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	Jun 18, 2026	n/a	yes	Bow, NH\|CONCORD, NH	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	May 16, 2016	Jun 22, 2026	no	Dover, NH\|MERIDEN, CT\|Dover, NH\|Dover, NH	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 25, 2014	Jun 3, 2016	no	DOVER, NH	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Apr 12, 2013	Apr 15, 2014	no	WALTHAM, MA\|ANDOVER, MA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Apr 3, 2009	Mar 1, 2013	no	MANCHESTER, NH	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Apr 7, 2009	no	HAMPSTEAD, NH\|PLAISTOW, NH\|DERRY, NH\|MANCHESTER, NH\|DERRY, NH	Previous registration
QUICK & REILLY, INC.	n/a	Jan 29, 2003	Oct 20, 2004	no	DERRY, NH	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
OSAIC INSTITUTIONS, INC.	RBC CAPITAL MARKETS, LLC	Jun 22, 2026	Jun 18, 2026	-4	Firm change	Ibd to ibd
LPL FINANCIAL LLC	OSAIC INSTITUTIONS, INC.	Jun 3, 2016	May 16, 2016	-18	Firm change	Other
ADVICE AND PLANNING SERVICES	LPL FINANCIAL LLC	Apr 15, 2014	Apr 25, 2014	10	Firm change	Other
RBC CAPITAL MARKETS, LLC	ADVICE AND PLANNING SERVICES	Mar 1, 2013	Apr 12, 2013	42	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	RBC CAPITAL MARKETS, LLC	Apr 7, 2009	Apr 3, 2009	-4	Firm change	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
35371:31194:NH:2026-06-22	Jun 22, 2026	Jun 18, 2026	DOVER, NH	Firm change

Relationships

Registered with (6)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Apr 3, 2009 to Mar 1, 2013factForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
May 16, 2016 to Jun 22, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 25, 2014 to Jun 3, 2016factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Apr 12, 2013 to Apr 15, 2014factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Apr 7, 2009factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Jan 29, 2003 to Oct 20, 2004factForm ADV

Dated events

Occurred
Jun 22, 2026
Advisor changed firm
James Collin Mckenna left Osaic Institutions, Inc. for Rbc Capital Markets, Llc (registered 2026-06-18)
Form ADVobserved 4 days ago