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

JAMES DAVID LYNCH

Advisor at RBC CAPITAL MARKETS, LLC

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:39969a32-4abe-e545-b1ab-a24a12fb1d7c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 15, 2001 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: May 13, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: May 13, 1994
First registration: May 15, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2469897

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	Mar 11, 2021	n/a	yes	SAN DIEGO, CA\|SAN DIEGO, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Feb 17, 2011	Mar 19, 2021	no	MODESTO, CA\|STOCKTON, CA\|SAN DIEGO, CA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Feb 17, 2011	no	SAINT PETERSBURG, FL\|MODESTO, CA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	May 4, 2004	Jan 2, 2009	no	MODESTO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	May 15, 2001	May 7, 2004	no	TURLOCK, 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	Mar 19, 2021	Mar 11, 2021	-8	Firm change	Wirehouse to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	WELLS FARGO ADVISORS	Feb 17, 2011	Feb 17, 2011	0	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
WELLS FARGO INVESTMENTS, LLC	RAYMOND JAMES FINANCIAL SERVICES, INC.	May 7, 2004	May 4, 2004	-3	Firm change	Other

Relationships

Registered with (5)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Mar 11, 2021 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 17, 2011 to Mar 19, 2021factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Feb 17, 2011factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 4, 2004 to Jan 2, 2009factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 15, 2001 to May 7, 2004factForm ADV

Dated events

No dated event names this entity yet.