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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Joan DuQuette

Advisor at RBC CAPITAL MARKETS, LLC

EAGLE, ID | SALT LAKE CITY, UT | KETCHUM, ID | South Jordan, UT | BOISE, ID

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Search this name across graphsid dfx:ria:47be7a7c-8fa8-d59b-20e7-c6ebc8b9767a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 17, 2009 to Sep 15, 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: Jul 28, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66|S63
First exam: Jul 28, 2006
First registration: Jun 17, 2009
Dual registered: yes, broker-dealer
Other names: JOAN A MARSHALL|JOAN A TRYON|JOAN ARAMINTA MARSHALL|JOAN ARAMINTA TRYON|JOAN ARAMINTA TRYON|JOAN MARSHALL DUQUETTE|JOAN ARAMINTA DUQUETTE|Joan M DuQuette
IAPD individual key: 5154671

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 22, 2024	n/a	yes	BOISE, ID\|KETCHUM, ID\|SALT LAKE CITY, UT\|EAGLE, ID\|South Jordan, UT	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 5, 2019	Jan 4, 2024	no	SALT LAKE CITY, UT\|SAN FRANCISCO, CA\|SALT LAKE CITY, UT\|NEW YORK, NY\|SALT LAKE CITY, UT	Previous registration
DFPG INVESTMENTS, LLC	Former SEC adviser	Apr 27, 2018	Jul 2, 2019	no	SOUTH JORDAN, UT\|SANDY, UT\|Sandy, UT	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Aug 17, 2017	Apr 26, 2018	no	SOUTH JORDON, UT\|ENGLEWOOD, CO	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jun 17, 2009	Jul 14, 2017	no	ARLINGTON, VA\|WASHINGTON, DC	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RBC CAPITAL MARKETS, LLC	Jan 4, 2024	Jan 22, 2024	18	Firm change	Wirehouse to ibd
DFPG INVESTMENTS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 2, 2019	Sep 5, 2019	65	Firm change	RIA to wirehouse
PRUCO SECURITIES, LLC	DFPG INVESTMENTS, LLC	Apr 26, 2018	Apr 27, 2018	1	Firm change	Ibd to RIA
E*TRADE CAPITAL MANAGEMENT, LLC	PRUCO SECURITIES, LLC	Jul 14, 2017	Aug 17, 2017	34	Firm change	Other

Relationships

Registered with (5)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jan 22, 2024 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 5, 2019 to Jan 4, 2024factForm ADV
→ DFPG INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 27, 2018 to Jul 2, 2019factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Aug 17, 2017 to Apr 26, 2018factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 17, 2009 to Jul 14, 2017factForm ADV

Dated events

Occurred
Jan 4, 2024
Advisor changed firm
Joan Duquette left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rbc Capital Markets, Llc (registered 2024-01-22)
Form ADVobserved 3 days ago