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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

MARIA GASPARI

Advisor at RBC CAPITAL MARKETS, LLC

PRINCETON, NJ | Holland, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:39cc469d-683c-b0fd-7442-848ef6bb58cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 29, 2007 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 24, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: May 24, 2007
First registration: May 29, 2007
Dual registered: yes, broker-dealer
Other names: MARIA M AMOS|MARIA GASPARI|Maria Rachelle Gaspari
IAPD individual key: 5139101

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 2, 2020	n/a	yes	PRINCETON, NJ\|Holland, PA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 7, 2020	no	Lawrenceville, NJ\|Morristown, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Sep 9, 2008	Jun 1, 2009	no	MORRISTOWN, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 29, 2007	Sep 11, 2008	no	BRIDGEWATER, NJ	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	Oct 7, 2020	Oct 2, 2020	-5	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY & CO. LLC	Sep 11, 2008	Sep 9, 2008	-2	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
149777:31194:NJ:2020-10-07	Oct 7, 2020	Oct 2, 2020	MORRISTOWN, NJ	Firm change

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Oct 2, 2020 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 7, 2020factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Sep 9, 2008 to Jun 1, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 29, 2007 to Sep 11, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39cc469d-683c-b0fd-7442-848ef6bb58cc
First observed: May 29, 2007
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MARIA GASPARI

Advisor at RBC CAPITAL MARKETS, LLC

PRINCETON, NJ | Holland, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:39cc469d-683c-b0fd-7442-848ef6bb58cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:31 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

RBC CAPITAL MARKETS, LLC

National bd RIA

Oct 2, 2020

n/a

yes

PRINCETON, NJ|Holland, PA

Current employment

MORGAN STANLEY

Wirehouse

Jun 1, 2009

Oct 7, 2020

Lawrenceville, NJ|Morristown, NJ

Previous registration

MORGAN STANLEY & CO. LLC

n/a

Sep 9, 2008

Jun 1, 2009

MORRISTOWN, NJ

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

May 29, 2007

Sep 11, 2008

BRIDGEWATER, NJ

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MORGAN STANLEY

RBC CAPITAL MARKETS, LLC

Oct 7, 2020

Oct 2, 2020

-5

Firm change

Wirehouse to ibd

MORGAN STANLEY & CO. LLC

MORGAN STANLEY

Jun 1, 2009

Bulk transfer

Other

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

Sep 11, 2008

Sep 9, 2008

-2

Firm change

Other

Team

Left

Joined

From

Kind

149777:31194:NJ:2020-10-07

Oct 7, 2020

Oct 2, 2020

MORRISTOWN, NJ

Firm change