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Shane Frederick Wendt

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Minneapolis, MNCRD #2942702Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
28 yrs
States Registered
53 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 53 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/13/1997
Series 57
Securities Trader Exam
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 55
Limited Representative-Equity Trader Exam
Passed 11/26/2013
Series 7
General Securities Representative Examination
Passed 9/16/1997

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
8/15/2002Minneapolis, MN
RBC CAPITAL MARKETS, LLCCurrent
4/4/2002Arden Hills, MN
FINTEGRA, LLC
12/3/19984/30/2001Minneapolis, MN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
10/8/199710/28/1998New York, NY

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. Shane Frederick Wendt 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.

Shane Frederick Wendt - Financial Advisor in Minneapolis, MN | AdvisorFinder