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William Shepard Waits

RBC Capital Markets, LLC

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About William Shepard Waits

William Shepard Waits is a financial advisor with over 40 years of experience in the financial services industry. William is currently registered with RBC Capital Markets, LLC. William is a seasoned professional with a strong track record of success in helping clients achieve their financial goals. William has a wide range of experience in providing financial advice to a diverse clientele, including individuals, families, businesses, and institutions.

Firm Information

William Waits 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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William Waits’s Registration & Firm History

AL

12/12/2024 - Present

RBC Capital Markets, LLC (Daphne AL)

GA

04/19/1996 - 10/11/2000

LEGACY SECURITIES CORP. (ATLANTA GA)

TN

01/11/1993 - 04/29/1996

WUNDERLICH SECURITIES, INC. (MEMPHIS TN)

AR

04/01/1992 - 12/23/1992

POWELL & SATTERFIELD, INC. (LITTLE ROCK AR)

TN

06/21/1989 - 03/30/1992

WUNDERLICH SECURITIES, INC. (MEMPHIS TN)

NA

05/29/1984 - 06/12/1989

THORN, ALVIS, WELCH, INC. INVESTMENT SECURITIES

NA

04/02/1979 - 05/07/1984

MUNICIPAL SECURITIES, INCORPORATED

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Licenses & Designations

IA

Issued 07/25/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/31/1979

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/1996

Series 53 - Municipal Securities Principal Examination

BC

Issued 06/26/1992

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/15/1989

Series 7 - General Securities Representative Examination

BC

Issued 02/25/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 03/23/1979

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for William Shepard Waits. Review regulatory record here.
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