AdFi
WE

William Edwin Cates

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Albuquerque, NMCRD #858426Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
48 yrs
States Registered
42 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 42 states
ArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaLouisianaMaineMarylandMassachusettsMichiganMinnesotaMissouriMontanaNebraskaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/2/1997
Series 63
Uniform Securities Agent State Law Examination
Passed 11/7/1980
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/21/1978
Series 12
NYSE Branch Manager Examination
Passed 6/26/1981

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
5/27/2009Albuquerque, NM
RBC CAPITAL MARKETS, LLCCurrent
5/4/2009Albuquerque, NM
CITIGROUP GLOBAL MARKETS INC.
7/31/19935/27/2009Albuquerque, NM

Official records & sources

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

Other advisors at RBC CAPITAL MARKETS, LLC

Showing 12 of 3828 in the directory

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. William Edwin Cates 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.

William Edwin Cates - Financial Advisor in Albuquerque, NM | AdvisorFinder