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.

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

Aug 28, 1997earliest registration or exam on IAPD

Years in industry

29derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Aug 28, 1997

First registration

Nov 7, 2006

Dual registered

yes, broker-dealer

IAPD individual key

2916617

• Occurred

  May 4, 2022
  Advisor changed firm

  Sean Michael Smith left Wells Fargo Advisors for Rbc Capital Markets, Llc (registered 2022-04-26)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3f4bf10d-4089-26e7-c9bf-80c169b2a840

First observed

Nov 7, 2006

Last observed

Sep 14, 2026 6 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.