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Thomas Robert Steele

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Las Vegas, NVCRD #2236396Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
34 yrs
States Registered
14 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 14 states
AlabamaCaliforniaDelawareFloridaGeorgiaIndianaMarylandNevadaNew JerseyNew YorkNorth CarolinaPennsylvaniaSouth CarolinaVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/3/1997
Series 63
Uniform Securities Agent State Law Examination
Passed 5/11/1992
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 3/10/2014
Series 7
General Securities Representative Examination
Passed 3/4/1997
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/11/1992

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
10/27/2021Las Vegas, NV
RBC CAPITAL MARKETS, LLCCurrent
10/27/2021Las Vegas, NV
WELLS FARGO CLEARING SERVICES, LLC
1/27/201211/9/2021Henderson, NV
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
8/10/20041/30/2012Flemington, NJ
WACHOVIA SECURITIES, LLC
7/1/20038/12/2004Bedminster, NJ
PRUDENTIAL SECURITIES INCORPORATED
6/25/20027/1/2003Bedminster, NJ

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. Thomas Robert Steele 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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