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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

TRISHA SCOTT THOMAS

Advisor at RBC CAPITAL MARKETS, LLC

ANNAPOLIS, MD | Annapolis, MD

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Search this name across graphsid dfx:ria:5c19f8c0-02c8-9ad2-3b5d-0639252c33ad

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2005 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: Aug 29, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 29, 2003
First registration: Jan 26, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4604215

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 9, 2011	n/a	yes	ANNAPOLIS, MD\|Annapolis, MD	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 13, 2011	no	Washington, DC	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	WASHINGTON, DC\|BALTIMORE, MD	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 26, 2005	Apr 2, 2007	no	ANNAPOLIS, MD\|BALTIMORE, 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
MORGAN STANLEY	RBC CAPITAL MARKETS, LLC	Sep 13, 2011	Sep 9, 2011	-4	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Sep 9, 2011 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 13, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 26, 2005 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.