DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

Rosanna F Bragdon

Advisor at RBC CAPITAL MARKETS, LLC

SAN ANTONIO, TX | LaVernia, TX

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:7984bac6-dcbb-d854-68fb-b5f1f78b3bea

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 24, 2007 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: Aug 5, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S65|S63
First exam: Aug 5, 2005
First registration: Jul 24, 2007
Dual registered: yes, broker-dealer
Other names: ROSANNA FAYE GANJE|ROSANNA FAYE BRAGDON|ROSANNA FAYE MCEACHIN|ROSANNA FAYE SUMNER
IAPD individual key: 4817288

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	Mar 15, 2024	n/a	yes	SAN ANTONIO, TX\|LaVernia, TX	Current employment
MORGAN STANLEY	Wirehouse	Nov 13, 2023	Mar 8, 2024	no	San Antonio, TX	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jun 10, 2020	Feb 25, 2021	no	Alamogordo, NM	Previous registration
FIRST COMMAND ADVISORY SERVICES	Bd affiliated wealth	Jun 19, 2018	Aug 8, 2018	no	Hagatna\|FORT WORTH, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Nov 7, 2016	no	PANAMA CITY, FL\|PENSACOLA, FL	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jul 24, 2007	Jan 1, 2008	no	PANAMA CITY, FL\|ST. LOUIS, MO\|PANAMA CITY, 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
MORGAN STANLEY	RBC CAPITAL MARKETS, LLC	Mar 8, 2024	Mar 15, 2024	7	Firm change	Wirehouse to ibd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	MORGAN STANLEY	Feb 25, 2021	Nov 13, 2023	991	Firm change after gap	Ibd to wirehouse
FIRST COMMAND ADVISORY SERVICES	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Aug 8, 2018	Jun 10, 2020	672	Firm change after gap	Ibd to ibd
WELLS FARGO ADVISORS	FIRST COMMAND ADVISORY SERVICES	Nov 7, 2016	Jun 19, 2018	589	Firm change after gap	Wirehouse to ibd
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (6)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Mar 15, 2024 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 13, 2023 to Mar 8, 2024factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jun 10, 2020 to Feb 25, 2021factForm ADV
→ FIRST COMMAND ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 19, 2018 to Aug 8, 2018factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Nov 7, 2016factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jul 24, 2007 to Jan 1, 2008factForm ADV

Dated events

Occurred
Mar 8, 2024
Advisor changed firm
Rosanna F Bragdon left Morgan Stanley for Rbc Capital Markets, Llc (registered 2024-03-15)
Form ADVobserved 5 days ago