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

Jan 1, 2011earliest registration or exam on IAPD

Years in industry

15derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S66|S63

First exam

Apr 26, 2012

First registration

Jan 14, 2013

Dual registered

yes, broker-dealer

Other names

LISA DAWN HALDEN

IAPD individual key

4507966

• Occurred

  Mar 2, 2022
  Advisor changed firm

  Lisa Dawn Dupree left Wells Fargo Advisors for Rbc Capital Markets, Llc (registered 2022-03-01)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:47883f1b-b99f-8219-a2c0-6416beec880b

First observed

Jan 14, 2013

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.