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Roger Wicks Stephens

RBC Capital Markets, LLC

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About Roger Wicks Stephens

Roger Wicks Stephens is a financial advisor at RBC Capital Markets, LLC. Roger has been in the financial services industry since 1991. Roger currently holds securities registrations with the states of California and Texas and is also a registered Investment Advisor in Texas. Prior to joining RBC Capital Markets, LLC, Roger was employed by UBS Financial Services Inc. and Morgan Stanley.

Firm Information

Roger Stephens is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Roger Stephens’s Registration & Firm History

CA

12/04/2019 - Present

RBC Capital Markets, LLC (Los Angeles CA)

CA

11/01/2010 - 01/02/2020

UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)

CA

06/01/2009 - 11/12/2010

MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)

CA

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (LOS ANGELES CA)

CA

04/07/2006 - 04/02/2007

MORGAN STANLEY DW INC. (LOS ANGELES CA)

NJ

01/04/2000 - 05/04/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

MA

10/24/1991 - 01/13/2000

ASSOCIATED SECURITIES CORP. (BOSTON MA)

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Licenses & Designations

BOTH

Issued 02/26/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/22/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/14/1994

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/2000

Series 7 - General Securities Representative Examination

BC

Issued 10/22/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Roger Wicks Stephens. Review regulatory record here.
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