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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

ANDREW BRIAN NOTO

Advisor at RBC CAPITAL MARKETS, LLC

Metairie, LA | NEW ORLEANS, LA

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Search this name across graphsid dfx:ria:21e850ed-49fb-e90c-893d-754468336cb9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Apr 11, 2016 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: Mar 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Apr 11, 2016
First registration: Apr 11, 2016
Dual registered: yes, broker-dealer
IAPD individual key: 6450827

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	Oct 30, 2025	n/a	yes	Metairie, LA\|NEW ORLEANS, LA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 16, 2022	Nov 10, 2025	no	NEW ORLEANS, LA	Previous registration
PLANNING ASSOCIATES WEALTH MANAGEMENT, LLC	Former SEC adviser	Sep 6, 2019	Nov 1, 2022	no	METAIRIE, LA	Previous registration
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Feb 1, 2017	Jul 23, 2019	no	METAIRIE, LA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 11, 2016	Feb 2, 2017	no	NEW ORLEANS, LA	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
UBS FINANCIAL SERVICES INC.	RBC CAPITAL MARKETS, LLC	Nov 10, 2025	Oct 30, 2025	-11	Firm change	Wirehouse to ibd
PLANNING ASSOCIATES WEALTH MANAGEMENT, LLC	UBS FINANCIAL SERVICES INC.	Nov 1, 2022	Nov 16, 2022	15	Firm change	RIA to wirehouse
OSAIC INSTITUTIONS, INC.	PLANNING ASSOCIATES WEALTH MANAGEMENT, LLC	Jul 23, 2019	Sep 6, 2019	45	Firm change	Ibd to new firm
AMERIPRISE FINANCIAL SERVICES, LLC	OSAIC INSTITUTIONS, INC.	Feb 2, 2017	Feb 1, 2017	-1	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
8174:31194:LA:2025-11-10	Nov 10, 2025	Oct 30, 2025	NEW ORLEANS, LA	Firm change

Relationships

Registered with (5)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Oct 30, 2025 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 16, 2022 to Nov 10, 2025factForm ADV
→ PLANNING ASSOCIATES WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 6, 2019 to Nov 1, 2022factForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Feb 1, 2017 to Jul 23, 2019factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 11, 2016 to Feb 2, 2017factForm ADV

Dated events

Occurred
Nov 10, 2025
Advisor changed firm
Andrew Brian Noto left Ubs Financial Services Inc. for Rbc Capital Markets, Llc (registered 2025-10-30)
Form ADVobserved 4 days ago
Occurred
Nov 1, 2022
Advisor changed firm
Andrew Brian Noto left Planning Associates Wealth Management, Llc for Ubs Financial Services Inc. (registered 2022-11-16)
Form ADVobserved 4 days ago