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

Aug 31, 1979earliest registration or exam on IAPD

Years in industry

47derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

4

Exams

S65|S63

First exam

Aug 31, 1979

First registration

Mar 30, 2004

Dual registered

yes, broker-dealer

Other names

WILLIAMS SHEPPARD WAITS|WILLIAM S WAITS

IAPD individual key

864112

• Occurred

  Dec 23, 2024
  Advisor changed firm

  William Shepard Waits left B. Riley Wealth Advisors, Inc. for Rbc Capital Markets, Llc (registered 2024-12-10)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:8b34f62f-d2f2-5b64-695c-7df7f42dae31

First observed

Mar 30, 2004

Last observed

Sep 15, 2026 4 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.