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

THOMAS ROBERT STEELE

Advisor at RBC CAPITAL MARKETS, LLC

Las Vegas, NV | LAS VEGAS, NV

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Search this name across graphsid dfx:ria:815413dc-1c79-4d4e-5acf-adad547601dd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2002 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: May 11, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 11, 1992
First registration: Jun 25, 2002
Dual registered: yes, broker-dealer
Other names: THOMAS R STEELE|TOM STEELE
IAPD individual key: 2236396

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	Nov 17, 2021	n/a	yes	Las Vegas, NV\|LAS VEGAS, NV	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 27, 2012	Nov 9, 2021	no	FLEMINGTON, NJ\|LAS VEGAS, NV\|HENDERSON, NV\|HENDERSON, NV	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 10, 2004	Jan 30, 2012	no	FLEMINGTON, NJ\|FLEMINGTON, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Aug 12, 2004	no	BEDMINSTER, NJ	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jun 25, 2002	Jul 1, 2003	no	BEDMINSTER, NJ	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
WELLS FARGO ADVISORS	RBC CAPITAL MARKETS, LLC	Nov 9, 2021	Nov 17, 2021	8	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Jan 30, 2012	Jan 27, 2012	-3	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 12, 2004	Aug 10, 2004	-2	Firm change	Wirehouse to wirehouse
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Nov 17, 2021 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 27, 2012 to Nov 9, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 10, 2004 to Jan 30, 2012factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jun 25, 2002 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.