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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

KATIE LYNN HUGHES

Advisor at RBC CAPITAL MARKETS, LLC

HUNT VALLEY, MD | STAMFORD, CT | Brookfield, CT

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Search this name across graphsid dfx:ria:535be289-e1df-d6f8-c424-429a49d0fd79

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Apr 1, 2002 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: Mar 29, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 29, 2002
First registration: Apr 1, 2002
Dual registered: yes, broker-dealer
Other names: katie l hughes|KATIE LYNN HUGHES|KATIE HUGHES FELDMAN
IAPD individual key: 4330783

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	Sep 22, 2025	n/a	yes	HUNT VALLEY, MD\|Brookfield, CT\|STAMFORD, CT	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Oct 24, 2022	Sep 22, 2025	no	Lutherville (Greenspring), MD	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 10, 2018	Oct 27, 2022	no	Lutherville Timonium, MD	Previous registration
CHAPIN DAVIS ASSET MANAGEMENT	Independent wealth	Sep 13, 2017	Apr 25, 2018	no	BALTIMORE, MD\|BALTIMORE, MD	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 11, 2015	Aug 8, 2017	no	BALTIMORE, MD	Previous registration
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	Bd affiliated wealth	Nov 15, 2013	Aug 13, 2015	no	ST. LOUIS, MO\|ST. LOUIS, MO\|Timonium, MD\|WHITE PLAINS, NY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 19, 2006	Nov 19, 2013	no	BALTIMORE, MD\|BALTIMORE, MD\|CHARLESTON, WV\|CATONSVILLE, MD\|COLUMBIA, MD\|OWINGS MILLS, MD\|COLUMBIA, MD\|REISTERSTOWN, MD	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Dec 2, 2004	Dec 21, 2005	no	BALTIMORE, MD\|BALTIMORE, MD	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Apr 1, 2002	Dec 11, 2003	no	PIKESVILLE, MD	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
JANNEY MONTGOMERY SCOTT LLC	RBC CAPITAL MARKETS, LLC	Sep 22, 2025	Sep 22, 2025	0	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	JANNEY MONTGOMERY SCOTT LLC	Oct 27, 2022	Oct 24, 2022	-3	Firm change	Ibd to ibd
CHAPIN DAVIS ASSET MANAGEMENT	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 25, 2018	Apr 10, 2018	-15	Firm change	RIA to ibd
WELLS FARGO ADVISORS	CHAPIN DAVIS ASSET MANAGEMENT	Aug 8, 2017	Sep 13, 2017	36	Firm change	Other
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	WELLS FARGO ADVISORS	Aug 13, 2015	Aug 11, 2015	-2	Firm change	Other
WELLS FARGO ADVISORS	BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	Nov 19, 2013	Nov 15, 2013	-4	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO ADVISORS	Dec 21, 2005	Jun 19, 2006	180	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	BANC OF AMERICA INVESTMENT SERVICES, INC.	Dec 11, 2003	Dec 2, 2004	357	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
28116:6363:MD:2018-04-24	Apr 25, 2018	Apr 10, 2018	BALTIMORE, MD	Firm change

Relationships

Registered with (8)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Sep 22, 2025 to presentfactForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Oct 24, 2022 to Sep 22, 2025factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 10, 2018 to Oct 27, 2022factForm ADV
→ CHAPIN DAVIS ASSET MANAGEMENTRegistered adviserregistration: previous registration
Sep 13, 2017 to Apr 25, 2018factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 11, 2015 to Aug 8, 2017factForm ADV
→ BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Nov 15, 2013 to Aug 13, 2015factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Dec 2, 2004 to Dec 21, 2005factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Apr 1, 2002 to Dec 11, 2003factForm ADV

Dated events

Occurred
Sep 22, 2025
Advisor changed firm
Katie Lynn Hughes left Janney Montgomery Scott Llc for Rbc Capital Markets, Llc (registered 2025-09-22)
Form ADVobserved 5 days ago
Occurred
Oct 27, 2022
Advisor changed firm
Katie Lynn Hughes left Ameriprise Financial Services, Llc for Janney Montgomery Scott Llc (registered 2022-10-24)
Form ADVobserved 5 days ago