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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

JAMES EARL VIGUE

Advisor at RBC CAPITAL MARKETS, LLC

CHICAGO, IL | Naperville, IL | BOSTON, MA

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Search this name across graphsid dfx:ria:8e5cc87a-0713-0fcd-18b2-da5b70cd3bd3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 10, 2004 to Sep 15, 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: Mar 6, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 6, 2001
First registration: Mar 10, 2004
Dual registered: yes, broker-dealer
Other names: JAMES E VIGUE|JIM EARL VIGUE|JIMY EARL VIGUE
IAPD individual key: 4295756

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	Jan 27, 2022	n/a	yes	CHICAGO, IL\|BOSTON, MA\|Naperville, IL	Current employment
AMUNDI ASSET MANAGEMENT US, INC.	Former SEC adviser	Jan 4, 2021	Jan 7, 2022	no	BOSTON, MA	Previous registration
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Former SEC adviser	Nov 24, 2015	Dec 31, 2020	no	BOSTON, MA	Previous registration
AMG FUNDS LLC	Asset manager	Jun 17, 2010	Nov 4, 2015	no	n/a	Previous registration
AMG DISTRIBUTORS, INC.	n/a	Mar 1, 2006	Jun 18, 2010	no	Stamford, CT\|STAMFORD, CT\|CHICAGO, IL\|CHICAGO, IL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Mar 10, 2004	Jun 3, 2004	no	NORTHBROOK, IL	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
AMUNDI ASSET MANAGEMENT US, INC.	RBC CAPITAL MARKETS, LLC	Jan 7, 2022	Jan 27, 2022	20	Firm change	Other
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	AMUNDI ASSET MANAGEMENT US, INC.	Dec 31, 2020	Jan 4, 2021	4	Bulk transfer	Other
AMG FUNDS LLC	AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Nov 4, 2015	Nov 24, 2015	20	Firm change	Other
AMG DISTRIBUTORS, INC.	AMG FUNDS LLC	Jun 18, 2010	Jun 17, 2010	-1	Firm change	Other
EQUITABLE ADVISORS, LLC	AMG DISTRIBUTORS, INC.	Jun 3, 2004	Mar 1, 2006	636	Firm change after gap	Other

Relationships

Registered with (6)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jan 27, 2022 to presentfactForm ADV
→ AMUNDI ASSET MANAGEMENT US, INC.Registered adviserregistration: previous registration
Jan 4, 2021 to Jan 7, 2022factForm ADV
→ AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Nov 24, 2015 to Dec 31, 2020factForm ADV
→ AMG FUNDS LLCRegistered adviserregistration: previous registration
Jun 17, 2010 to Nov 4, 2015factForm ADV
→ AMG DISTRIBUTORS, INC.Registered adviserregistration: previous registration
Mar 1, 2006 to Jun 18, 2010factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 10, 2004 to Jun 3, 2004factForm ADV

Dated events

Occurred
Jan 7, 2022
Advisor changed firm
James Earl Vigue left Amundi Asset Management Us, Inc. for Rbc Capital Markets, Llc (registered 2022-01-27)
Form ADVobserved 5 days ago