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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

DAVID MICHAEL DEPAUL

Advisor at RBC CAPITAL MARKETS, LLC

Madison, NJ | FLORHAM PARK, NJ

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Search this name across graphsid dfx:ria:d8a353bd-b744-aa0b-c6d6-0dc508c39944

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 11, 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: Apr 27, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Apr 27, 1993
First registration: Oct 11, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2294271

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	Dec 8, 2016	n/a	yes	FLORHAM PARK, NJ\|Madison, NJ	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 5, 2008	Dec 15, 2016	no	Warren, NJ\|FLORHAM PARK, NJ\|WEEHAWKEN, NJ\|FLORHAM PARK, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Dec 9, 2008	no	MORRISTOWN, NJ	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 9, 2004	Apr 2, 2007	no	MORRISTOWN, NJ\|MORRISTOWN, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 11, 2002	Sep 23, 2004	no	FLORHAM PARK, 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
UBS FINANCIAL SERVICES INC.	RBC CAPITAL MARKETS, LLC	Dec 15, 2016	Dec 8, 2016	-7	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	UBS FINANCIAL SERVICES INC.	Dec 9, 2008	Dec 5, 2008	-4	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY DW INC.	Sep 23, 2004	Sep 9, 2004	-14	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8174:31194:NJ:2016-12-15	Dec 15, 2016	Dec 8, 2016	FLORHAM PARK, NJ	Firm change

Relationships

Registered with (5)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Dec 8, 2016 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 5, 2008 to Dec 15, 2016factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Dec 9, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 9, 2004 to Apr 2, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 11, 2002 to Sep 23, 2004factForm ADV

Dated events

No dated event names this entity yet.