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Thomas Christopher Klein

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Raleigh, NCCRD #713743Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
42 yrs
States Registered
51 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 51 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/11/1992
Series 63
Uniform Securities Agent State Law Examination
Passed 2/10/1986
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 12/13/1988
Series 7
General Securities Representative Examination
Passed 1/18/1986

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
6/21/2002 – Raleigh, NC
RBC CAPITAL MARKETS, LLCCurrent
3/9/2002 – Youngsville, NC
TUCKER ANTHONY INCORPORATED
9/1/1999 – 3/9/2002Boston, MA
GIBRALTAR SECURITIES CO.
5/19/1999 – 9/1/1999Florham Park, NJ
CADARET, GRANT & CO., INC.
6/10/1994 – 5/3/1999Syracuse, NY
SMITH BARNEY INC.
7/31/1993 – 7/7/1994New York, NY
LEHMAN BROTHERS INC.
5/14/1988 – 7/31/1993New York, NY
E. F. HUTTON & COMPANY INC
1/21/1986 – 5/14/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
8/19/1980 – 7/7/1982

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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View RBC CAPITAL MARKETS, LLC firm profile
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. Thomas Christopher Klein 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.

Thomas Christopher Klein - Financial Advisor in Raleigh, NC | AdvisorFinder