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

Dec 7, 1989earliest registration or exam on IAPD

Years in industry

36derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S65|S63

First exam

Dec 7, 1989

First registration

Oct 22, 2004

Dual registered

yes, broker-dealer

IAPD individual key

1892325

• Occurred

  Oct 29, 2025
  Advisor changed firm

  Mark Serby left Wells Fargo Advisors for Rbc Capital Markets, Llc (registered 2025-10-27)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:7d3862eb-7c79-996f-b94d-53bbd92b214e

First observed

Oct 22, 2004

Last observed

Sep 15, 2026 5 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.