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Sean Michael Smith

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Seattle, WACRD #2916617Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
29 yrs
States Registered
28 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 28 states
AlaskaArizonaCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaIdahoIndianaLouisianaMichiganMinnesotaMissouriNevadaNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaRhode IslandTennesseeTexasUtahVirginiaWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/8/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 8/28/1997
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 5/13/1998
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 7/25/1997

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
4/26/2022Seattle, WA
RBC CAPITAL MARKETS, LLCCurrent
4/26/2022Seattle, WA
WELLS FARGO CLEARING SERVICES, LLC
1/3/20115/4/2022Seattle, WA
WELLS FARGO INVESTMENTS, LLC
2/5/20081/3/2011Seattle, WA
WAMU INVESTMENTS, INC.
11/7/20062/12/2008Seattle, WA

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. Sean Michael Smith 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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