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Scott Robert Wick

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Brookfield, WICRD #1194270Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
42 yrs
States Registered
40 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 40 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaIllinoisIndianaIowaKentuckyLouisianaMarylandMassachusettsMichiganMinnesotaMississippiMissouriNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaSouth CarolinaTennesseeTexasUtahVermontVirginiaWashingtonWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/16/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 4/10/1984
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 4/17/1984
Series 7
General Securities Representative Examination
Passed 3/17/1984
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 9/19/2006
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 8/31/2006

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
4/15/1998Brookfield, WI
RBC CAPITAL MARKETS, LLCCurrent
3/2/1998Pewaukee, WI
DAIN RAUSCHER INCORPORATED
11/23/19943/2/1998
EVEREN SECURITIES, INC.
9/4/199012/13/1994St. Louis, MO
BLUNT ELLIS & LOEWI INCORPORATED
3/23/19849/4/1990

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. Scott Robert Wick 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.

Scott Robert Wick - Financial Advisor in Brookfield, WI | AdvisorFinder