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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

BERNADETTE J GAPUSAN-NEUSCHWANGER

Advisor at RBC CAPITAL MARKETS, LLC

PASADENA, CA | Los Angeles, CA

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Search this name across graphsid dfx:ria:3869ee32-e6ac-74da-4afc-463100ded005

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 18, 2001 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 14, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Feb 14, 1986
First registration: Jun 18, 2001
Dual registered: yes, broker-dealer
Other names: BERNADETTE JANE GAPUSAN|BERNADETTE GAPUSAN-NEUSCHWANGER|BERNADETTE JANE GAPUSANNEUSCHWANGER|BERNADETTE JANE GAPUSAN-NEUSCHWANGER|BERNADETTE GAPUSAN
IAPD individual key: 1270663

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	Apr 26, 2022	n/a	yes	Los Angeles, CA\|PASADENA, CA	Current employment
MORGAN STANLEY	Wirehouse	Mar 24, 2022	May 13, 2022	no	Beverly Hills, CA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Jan 26, 2006	Feb 18, 2022	no	CENTURY CITY, CA\|BEVERLY HILLS, CA\|BEVERLY HILLS, CA\|CENTURY CITY, CA\|Los Angeles, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 9, 2005	Jan 24, 2006	no	SHERMAN OAKS, CA	Previous registration
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Jun 18, 2001	Nov 21, 2005	no	LOS ANGELES, 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
MORGAN STANLEY	RBC CAPITAL MARKETS, LLC	May 13, 2022	Apr 26, 2022	-17	Firm change	Wirehouse to ibd
RBC CAPITAL MARKETS, LLC	MORGAN STANLEY	Feb 18, 2022	Mar 24, 2022	34	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	RBC CAPITAL MARKETS, LLC	Jan 24, 2006	Jan 26, 2006	2	Firm change	Wirehouse to ibd
DEUTSCHE BANK SECURITIES INC.	WELLS FARGO ADVISORS	Nov 21, 2005	Nov 9, 2005	-12	Firm change	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Jan 26, 2006 to Feb 18, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 24, 2022 to May 13, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 9, 2005 to Jan 24, 2006factForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Jun 18, 2001 to Nov 21, 2005factForm ADV

Dated events

Occurred
May 13, 2022
Advisor changed firm
Bernadette J Gapusan-Neuschwanger left Morgan Stanley for Rbc Capital Markets, Llc (registered 2022-04-26)
Form ADVobserved 5 days ago
Occurred
Feb 18, 2022
Advisor changed firm
Bernadette J Gapusan-Neuschwanger left Rbc Capital Markets, Llc for Morgan Stanley (registered 2022-03-24)
Form ADVobserved 5 days ago