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

Feb 5, 1998earliest registration or exam on IAPD

Years in industry

28derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S65|S63

First exam

Feb 5, 1998

First registration

Sep 18, 2008

Dual registered

yes, broker-dealer

IAPD individual key

2990779

• Occurred

  Nov 6, 2024
  Advisor changed firm

  Maurice Patrick Tessier left Ubs Financial Services Inc. for Rbc Capital Markets, Llc (registered 2024-10-24)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:5febbde9-260b-c642-4983-1dd0e064f3bc

First observed

Sep 18, 2008

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.