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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

BRIAN HARKNESS WELLS

Advisor at RBC CAPITAL MARKETS, LLC

PORTLAND, ME | Falmouth, ME

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Search this name across graphsid dfx:ria:c6964a3b-3d33-80e9-7371-b9f7378f2efa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 5, 2008 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: Feb 10, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Feb 10, 1998
First registration: Aug 5, 2008
Dual registered: yes, broker-dealer
Other names: BRIAN H WELLS
IAPD individual key: 2805467

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	Sep 20, 2023	n/a	yes	PORTLAND, ME\|Falmouth, ME	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 17, 2014	Oct 2, 2023	no	BOSTON, MA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jan 23, 2014	no	Boston, MA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Aug 5, 2008	Jun 1, 2009	no	BOSTON, MA	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
UBS FINANCIAL SERVICES INC.	RBC CAPITAL MARKETS, LLC	Oct 2, 2023	Sep 20, 2023	-12	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Jan 23, 2014	Jan 17, 2014	-6	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Sep 20, 2023 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 17, 2014 to Oct 2, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jan 23, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Aug 5, 2008 to Jun 1, 2009factForm ADV

Dated events

Occurred
Oct 2, 2023
Advisor changed firm
Brian Harkness Wells left Ubs Financial Services Inc. for Rbc Capital Markets, Llc (registered 2023-09-20)
Form ADVobserved 5 days ago