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

Apr 2, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Apr 2, 2015

First registration

Aug 25, 2015

Dual registered

yes, broker-dealer

Other names

WILLIAM S NUGENT|STEELE NUGENT|WILLIAM S NUGENT

IAPD individual key

6446843

• Occurred

  Jun 26, 2023
  Advisor changed firm

  William Steele Nugent left Ubs Financial Services Inc. for Rbc Capital Markets, Llc (registered 2023-06-15)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a2fed553-a0ff-3404-c53f-47bc26bb20a3

First observed

Aug 25, 2015

Last observed

Sep 14, 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.