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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

MEGAN HAWES LOCKHART

Advisor at RBC CAPITAL MARKETS, LLC

SNOHOMISH, WA | KIRKLAND, WA

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Search this name across graphsid dfx:ria:e1b2d76c-b954-3eb2-16ba-b52207634e2e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 2004 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: Oct 17, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Oct 17, 2003
First registration: Jul 8, 2004
Dual registered: yes, broker-dealer
Other names: MEGAN ELIZABETH HAWES|MEGAN ELIZABETH HAWES
IAPD individual key: 4601294

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 28, 2011	n/a	yes	KIRKLAND, WA\|SNOHOMISH, WA	Current employment
ADAMS FINANCIAL CONCEPTS, LLC	Former SEC adviser	Aug 22, 2007	Nov 18, 2009	no	SEATTLE, WA	Previous registration
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Former SEC adviser	Mar 21, 2005	Jan 28, 2008	no	SEATTLE, WA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 8, 2004	Aug 12, 2004	no	SEATTLE, WA	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
ADAMS FINANCIAL CONCEPTS, LLC	RBC CAPITAL MARKETS, LLC	Nov 18, 2009	Sep 28, 2011	679	Firm change after gap	RIA to ibd
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	ADAMS FINANCIAL CONCEPTS, LLC	Jan 28, 2008	Aug 22, 2007	-159	Firm change after gap	Other
WELLS FARGO ADVISORS	MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Aug 12, 2004	Mar 21, 2005	221	Firm change	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Sep 28, 2011 to presentfactForm ADV
→ ADAMS FINANCIAL CONCEPTS, LLCRegistered adviserregistration: previous registration
Aug 22, 2007 to Nov 18, 2009factForm ADV
→ MID ATLANTIC FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 21, 2005 to Jan 28, 2008factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 8, 2004 to Aug 12, 2004factForm ADV

Dated events

No dated event names this entity yet.