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

JOHN KEVIN WILLIAMS

Advisor at RBC CAPITAL MARKETS, LLC

RICHMOND, VA | Richmond, VA | ROCKY MOUNT, NC

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Search this name across graphsid dfx:ria:e2a3ee1d-19da-2736-68aa-054e9a744f4f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 14, 2000 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: Nov 12, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Nov 12, 1992
First registration: Aug 14, 2000
Dual registered: yes, broker-dealer
Other names: JOHN K WILLIAMS
IAPD individual key: 2285960

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	Jul 15, 2010	n/a	yes	RICHMOND, VA\|ROCKY MOUNT, NC\|Richmond, VA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 23, 2010	no	RICHMOND, VA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 5, 2002	Jun 1, 2009	no	RICHMOND, VA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 14, 2000	Jul 18, 2002	no	DALLAS, TX	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
MORGAN STANLEY	RBC CAPITAL MARKETS, LLC	Jul 23, 2010	Jul 15, 2010	-8	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Jul 18, 2002	Jul 5, 2002	-13	Firm change	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jul 15, 2010 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 23, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 5, 2002 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 14, 2000 to Jul 18, 2002factForm ADV

Dated events

No dated event names this entity yet.