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Douglas Harmon Stine

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Indianapolis, INCRD #5050898Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
17 yrs
States Registered
30 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 30 states
AlabamaArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaIllinoisIndianaKentuckyMarylandMichiganMinnesotaMissouriNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 3/26/2015
Series 63
Uniform Securities Agent State Law Examination
Passed 2/19/2009
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 16
NYSE Supervisory Analyst Examination
Passed 5/24/2012
Series 7
General Securities Representative Examination
Passed 1/29/2009

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
3/26/2015Indianapolis, IN
RBC CAPITAL MARKETS, LLCCurrent
2/23/2015Noblesville, IN
EDWARD JONES
1/30/20093/2/2015St. Louis, MO

Official records & sources

Data as of August 9, 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. Douglas Harmon Stine 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.

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