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

Alfredo Armando Rosas

Advisor at RBC CAPITAL MARKETS, LLC

BOCA RATON, FL | Lake Worth, FL

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Search this name across graphsid dfx:ria:2349052e-18d2-dede-0054-12485ccce59f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 12, 2008 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 18, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jul 18, 1998
First registration: Mar 12, 2008
Dual registered: yes, broker-dealer
Other names: ALFREDO A ROSAS|ALFREDO ARMANDO ROSAS|ALFREDO ARMANDO ROSAS|ALFREDO ROSAS|ALFREDO ARMANDO ROSAS|ALFREDO ARMANDO ROSAS JR.|Alfredo Rosas
IAPD individual key: 2729950

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	Jan 23, 2022	n/a	yes	BOCA RATON, FL\|Lake Worth, FL	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Feb 17, 2021	Jan 18, 2022	no	ATLANTA, GA\|BOCA RATON, FL	Previous registration
BB&T SECURITIES, LLC	Former SEC adviser	May 22, 2019	Feb 17, 2021	no	BOCA RATON, FL\|RICHMOND, VA	Previous registration
MORGAN STANLEY	Wirehouse	Jul 31, 2017	May 17, 2019	no	Fort Lauderdale, FL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 6, 2014	Jun 14, 2017	no	FORT LAUDERDALE, FL\|DAVIE, FL\|FORT LAUDERDALE, FL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Oct 4, 2013	no	MIAMI LAKES, FL\|MIAMI LAKES, FL\|HOLLYWOOD, FL\|COOPER CITY, FL\|PEMBROKE PINES, FL\|PEMBROKE PINES, FL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Aug 14, 2012	Oct 1, 2012	no	HOLLYWOOD, FL\|MIAMI LAKES, FL\|MIAMI LAKES, FL\|PLANTATION, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 22, 2010	Aug 1, 2012	no	Miami, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 1, 2010	May 21, 2010	no	CORAL GABLES, FL	Previous registration
UBS INTERNATIONAL INC.	n/a	Mar 12, 2008	Jan 1, 2010	no	CORAL GABLES, FL	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
TRUIST ADVISORY SERVICES, INC.	RBC CAPITAL MARKETS, LLC	Jan 18, 2022	Jan 23, 2022	5	Firm change	Ibd to ibd
BB&T SECURITIES, LLC	TRUIST ADVISORY SERVICES, INC.	Feb 17, 2021	Feb 17, 2021	0	Bulk transfer	Ibd to ibd
MORGAN STANLEY	BB&T SECURITIES, LLC	May 17, 2019	May 22, 2019	5	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	MORGAN STANLEY	Jun 14, 2017	Jul 31, 2017	47	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
MORGAN STANLEY	CHASE INVESTMENT SERVICES CORP.	Aug 1, 2012	Aug 14, 2012	13	Firm change	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	May 21, 2010	Jun 22, 2010	32	Firm change	Wirehouse to wirehouse
UBS INTERNATIONAL INC.	UBS FINANCIAL SERVICES INC.	Jan 1, 2010	Jan 1, 2010	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
283390:31194:FL:2022-01-18	Jan 18, 2022	Jan 23, 2022	BOCA RATON, FL	Firm change

Relationships

Registered with (8)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jan 23, 2022 to presentfactForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Feb 17, 2021 to Jan 18, 2022factForm ADV
→ BB&T SECURITIES, LLCRegistered adviserregistration: previous registration
May 22, 2019 to Feb 17, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 31, 2017 to May 17, 2019factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 6, 2014 to Jun 14, 2017factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Aug 14, 2012 to Oct 1, 2012factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 1, 2010 to May 21, 2010factForm ADV
→ UBS INTERNATIONAL INC.Registered adviserregistration: previous registration
Mar 12, 2008 to Jan 1, 2010factForm ADV

Dated events

Occurred
Jan 18, 2022
Advisor changed firm
Alfredo Armando Rosas left Truist Advisory Services, Inc. for Rbc Capital Markets, Llc (registered 2022-01-23)
Form ADVobserved 5 days ago