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

Jan 8, 2007earliest registration or exam on IAPD

Years in industry

19derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Jan 8, 2007

First registration

Jun 16, 2011

Dual registered

yes, broker-dealer

IAPD individual key

5218300

• Occurred

  Mar 22, 2024
  Advisor changed firm

  Crystal Roger left Ubs Financial Services Inc. for Rbc Capital Markets, Llc (registered 2024-03-07)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:df3ed198-4484-013d-db93-51fc33ebd557

First observed

Jun 16, 2011

Last observed

Sep 14, 2026 6 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.