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Stephen David Leightman

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Mount Laurel, NJCRD #841943Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
48 yrs
States Registered
41 states
Exams Passed
15

Registrations & licenses

Registration type
Dual-registered
Registered in 41 states
AlaskaArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIllinoisIndianaIowaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/4/2002
Series 63
Uniform Securities Agent State Law Examination
Passed 11/22/1993
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 11/11/2008
Series 15
Foreign Currency Options Examination
Passed 6/3/1987
Series 5
Interest Rate Options Examination
Passed 6/3/1987
Series 3
National Commodity Futures Examination
Passed 9/2/1977
Series 7
General Securities Representative Examination
Passed 8/20/1977
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 53
Municipal Securities Principal Examination
Passed 10/21/1986
Series 24
General Securities Principal Examination
Passed 8/4/1981
Series 4
Registered Options Principal Examination
Passed 8/4/1981
Series 12
NYSE Branch Manager Examination
Passed 5/28/1980

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
10/28/2005Mount Laurel, NJ
RBC CAPITAL MARKETS, LLCCurrent
10/28/2005Cherry Hill, NJ
PNC INVESTMENTS
1/1/200411/2/2005Cherry Hill, NJ
HILLIARD LYONS ASSET MANAGEMENT
6/3/20031/1/2004Cherry Hill, NJ

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. Stephen David Leightman 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.

Stephen David Leightman - Financial Advisor in Mount Laurel, NJ | AdvisorFinder