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BJ

Brian James Kerwin

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Florham Park, NJCRD #717192Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
46 yrs
States Registered
22 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 22 states
CaliforniaColoradoConnecticutDelawareFloridaGeorgiaIllinoisLouisianaMassachusettsMichiganMissouriNew JerseyNew MexicoNew YorkNorth CarolinaPennsylvaniaSouth CarolinaTennesseeTexasVirginiaWashingtonWest Virginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/5/1992
Series 63
Uniform Securities Agent State Law Examination
Passed 2/24/1984
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/18/1980

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
3/14/2018Florham Park, NJ
RBC CAPITAL MARKETS, LLCCurrent
3/14/2018Basking Ridge, NJ
WELLS FARGO CLEARING SERVICES, LLC
7/1/20033/20/2018Warren, NJ
PRUDENTIAL SECURITIES INCORPORATED
10/6/20007/1/2003Florham Park, NJ

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian James Kerwin has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Brian James Kerwin - Financial Advisor in Florham Park, NJ | AdvisorFinder