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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

DANIEL JOHN LEGAN

Advisor at RBC CAPITAL MARKETS, LLC

Rancho Mirage, CA | PALM DESERT, CA

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Search this name across graphsid dfx:ria:1947e84a-d329-b00b-1a76-5fb63d8aa69e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 11, 2002 to Sep 15, 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: Feb 15, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Feb 15, 1994
First registration: Feb 11, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2360114

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	May 8, 2024	n/a	yes	PALM DESERT, CA\|Rancho Mirage, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jun 30, 2015	May 15, 2024	no	PALM DESERT, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 12, 2010	Jul 15, 2015	no	INDIAN WELLS, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	May 18, 2010	no	INDIAN WELLS, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	PALM DESERT, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 22, 2006	Apr 2, 2007	no	PALM DESERT, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 11, 2002	Oct 3, 2006	no	INDIAN WELLS, CA\|PALM DESERT, CA	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
WELLS FARGO ADVISORS	RBC CAPITAL MARKETS, LLC	May 15, 2024	May 8, 2024	-7	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Jul 15, 2015	Jun 30, 2015	-15	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	May 18, 2010	May 12, 2010	-6	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY DW INC.	Oct 3, 2006	Sep 22, 2006	-11	Firm change	Other

Relationships

Registered with (6)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
May 8, 2024 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 30, 2015 to May 15, 2024factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 12, 2010 to Jul 15, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to May 18, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 22, 2006 to Apr 2, 2007factForm ADV

Dated events

Occurred
May 15, 2024
Advisor changed firm
Daniel John Legan left Wells Fargo Advisors for Rbc Capital Markets, Llc (registered 2024-05-08)
Form ADVobserved 6 days ago