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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

CHRISTOPHER HANS WELLS

Advisor at RBC CAPITAL MARKETS, LLC

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:3f527636-7356-5915-d8e7-96fbfad52334

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 10, 2004 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: Aug 9, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 9, 2004
First registration: Aug 10, 2004
Dual registered: yes, broker-dealer
Other names: CHRISTOPHER H WELLS
IAPD individual key: 4219224

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 13, 2014	n/a	yes	SAN DIEGO, CA\|SAN DIEGO, CA	Current employment
MORGAN STANLEY	Wirehouse	Apr 19, 2010	Jan 16, 2014	no	SAN DIEGO, CA\|San Diego, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Apr 20, 2010	no	OCEANSIDE, CA\|VISTA, CA\|SAN DIEGO, CA\|CARLSBAD, CA\|SAN DIEGO, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Aug 10, 2004	Oct 23, 2009	no	VISTA, CA\|SAN DIEGO, CA\|OCEANSIDE, 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	Jan 16, 2014	Jan 13, 2014	-3	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Apr 20, 2010	Apr 19, 2010	-1	Firm change	Wirehouse to wirehouse
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jan 13, 2014 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 19, 2010 to Jan 16, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Apr 20, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 10, 2004 to Oct 23, 2009factForm ADV

Dated events

No dated event names this entity yet.