# ROGER WICKS STEPHENS

ROGER WICKS STEPHENS is an investment adviser representative (IAR) with state registration records since 2001, appearing at 5 firms. Currently registered with RBC CAPITAL MARKETS, LLC.

## Registration history (7)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [RBC CAPITAL MARKETS, LLC](https://search.stillhousedata.com/firm/31194) | 2019-12-04 | present | Yes |
| [UBS FINANCIAL SERVICES INC.](https://search.stillhousedata.com/firm/8174) | 2010-11-01 | 2020-01-02 | — |
| [MORGAN STANLEY SMITH BARNEY LLC](https://search.stillhousedata.com/firm/149777) | 2009-06-01 | 2010-11-12 | — |
| [MORGAN STANLEY & CO. LLC](https://search.stillhousedata.com/firm/8209) | 2007-04-02 | 2009-06-01 | — |
| [MORGAN STANLEY DW INC.](https://search.stillhousedata.com/firm/7556) | 2006-04-07 | 2006-04-07 | — |
| [MORGAN STANLEY DW INC.](https://search.stillhousedata.com/firm/7556) | 2006-04-07 | 2007-04-02 | — |
| [UBS FINANCIAL SERVICES INC.](https://search.stillhousedata.com/firm/8174) | 2001-03-19 | 2006-05-04 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/1042485)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/1042485.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.