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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

KATHLEEN R KELEHER

Advisor at RBC CAPITAL MARKETS, LLC

OAKLAND PARK, FL | BOCA RATON, FL

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Search this name across graphsid dfx:ria:57378443-4790-7d05-15f9-e52ae88e4679

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 14, 2000 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: May 7, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: May 7, 1986
First registration: Aug 14, 2000
Dual registered: yes, broker-dealer
Other names: KATHLEEN R KELEHER|KATHLEEN ROSE KELEHER
IAPD individual key: 1280356

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 18, 2022	n/a	yes	BOCA RATON, FL\|OAKLAND PARK, FL	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Feb 17, 2021	Jan 18, 2022	no	ATLANTA, GA\|AVENTURA, FL	Previous registration
BB&T SECURITIES, LLC	Former SEC adviser	Mar 2, 2016	Feb 17, 2021	no	FT LAUDERDALE, FL\|AVENTURA, FL\|BOCA RATON, FL\|RICHMOND, VA	Previous registration
MORGAN STANLEY	Wirehouse	Dec 14, 2009	Oct 9, 2015	no	Aventura, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 14, 2000	Dec 10, 2009	no	AVENTURA, FL\|Hallandale Beach, FL	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
TRUIST ADVISORY SERVICES, INC.	RBC CAPITAL MARKETS, LLC	Jan 18, 2022	Jan 18, 2022	0	Firm change	Ibd to ibd
BB&T SECURITIES, LLC	TRUIST ADVISORY SERVICES, INC.	Feb 17, 2021	Feb 17, 2021	0	Bulk transfer	Ibd to ibd
MORGAN STANLEY	BB&T SECURITIES, LLC	Oct 9, 2015	Mar 2, 2016	145	Firm change	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Dec 10, 2009	Dec 14, 2009	4	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
283390:31194:FL:2022-01-18	Jan 18, 2022	Jan 18, 2022	AVENTURA, FL	Firm change

Relationships

Registered with (5)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jan 18, 2022 to presentfactForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Feb 17, 2021 to Jan 18, 2022factForm ADV
→ BB&T SECURITIES, LLCRegistered adviserregistration: previous registration
Mar 2, 2016 to Feb 17, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Dec 14, 2009 to Oct 9, 2015factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 14, 2000 to Dec 10, 2009factForm ADV

Dated events

Occurred
Jan 18, 2022
Advisor changed firm
Kathleen R Keleher left Truist Advisory Services, Inc. for Rbc Capital Markets, Llc (registered 2022-01-18)
Form ADVobserved 6 days ago