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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

JASON EDWARD HUGHES

Advisor at RBC CAPITAL MARKETS, LLC

Sarasota, FL | SARASOTA, FL

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Search this name across graphsid dfx:ria:df7d9728-47aa-a0b5-4ada-a75b9049a387

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 8, 2001 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: Aug 10, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Aug 10, 2000
First registration: Feb 8, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4197651

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	Apr 30, 2025	n/a	yes	SARASOTA, FL\|Sarasota, FL	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 12, 2012	May 13, 2025	no	SARASOTA, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 21, 2012	no	SARASOTA, FL\|Sarasota, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	SARASOTA, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 20, 2005	Apr 2, 2007	no	SARASOTA, FL\|SARASOTA, FL	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Feb 8, 2001	Sep 23, 2005	no	SARASOTA, FL	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	May 13, 2025	Apr 30, 2025	-13	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Sep 21, 2012	Sep 12, 2012	-9	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
LEGG MASON WOOD WALKER, INCORPORATED	MORGAN STANLEY DW INC.	Sep 23, 2005	Sep 20, 2005	-3	Firm change	Other

Relationships

Registered with (6)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Apr 30, 2025 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 12, 2012 to May 13, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 21, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 20, 2005 to Apr 2, 2007factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Feb 8, 2001 to Sep 23, 2005factForm ADV

Dated events

Occurred
May 13, 2025
Advisor changed firm
Jason Edward Hughes left Ubs Financial Services Inc. for Rbc Capital Markets, Llc (registered 2025-04-30)
Form ADVobserved 5 days ago