DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

ROGER WICKS STEPHENS

Advisor at RBC CAPITAL MARKETS, LLC

Los Angeles, CA | Pasadena, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:77a8d8c2-bc16-c89e-d97b-57270f9b8a56

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2001 to Sep 14, 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: Jun 22, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 22, 1992
First registration: Mar 19, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1042485

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	Dec 4, 2019	n/a	yes	Los Angeles, CA\|Pasadena, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 1, 2010	Jan 2, 2020	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Nov 12, 2010	no	LOS ANGELES, CA\|Los Angeles, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 7, 2006	Apr 2, 2007	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 7, 2006	Apr 7, 2006	no	LOS ANGELES, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 19, 2001	May 4, 2006	no	LOS ANGELES, CA	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
UBS FINANCIAL SERVICES INC.	RBC CAPITAL MARKETS, LLC	Jan 2, 2020	Dec 4, 2019	-29	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Nov 12, 2010	Nov 1, 2010	-11	Firm change	Wirehouse to wirehouse
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
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY DW INC.	May 4, 2006	Apr 7, 2006	-27	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
8174:31194:CA:2019-12-26	Jan 2, 2020	Dec 4, 2019	LOS ANGELES, CA	Firm change

Relationships

Registered with (5)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Dec 4, 2019 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 1, 2010 to Jan 2, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Nov 12, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 7, 2006 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.