AdFi
JE

James Erwin Wing

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Providence, RICRD #717529Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
46 yrs
States Registered
25 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 25 states
ArizonaCaliforniaConnecticutFloridaIllinoisIndianaKansasLouisianaMaineMarylandMassachusettsMichiganMinnesotaNew HampshireNew JerseyNew YorkNorth CarolinaOklahomaOregonPennsylvaniaRhode IslandTexasVermontVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 8/3/2005
Series 63
Uniform Securities Agent State Law Examination
Passed 11/13/1980
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
8/4/2005Providence, RI
RBC CAPITAL MARKETS, LLCCurrent
3/9/2002Foxboro, MA
TUCKER ANTHONY INCORPORATED
5/4/19893/9/2002Boston, MA
DREXEL BURNHAM LAMBERT INCORPORATED
8/21/19856/3/1989
E. F. HUTTON & COMPANY INC
10/24/19808/30/1985

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. James Erwin Wing 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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