Katie Lynn Hughes

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 08/2017
  Wells Fargo Advisors Llc
  Baltimore, MD
• 08/2017 → 04/2018
  Chapin, Davis
  Baltimore, MD
• 04/2018 → 10/2022
  Ameriprise Financial Services Inc
  Lutherville Timonium, MD
• 10/2022 → 09/2025
  Janney Montgomery Scott Llc
  Baltimore, MD
• 09/2025 → Present
  Rbc Capital Markets, Llc
  Hunt Valley, MD

Previous Registrations

• 2022-10-24 → 2025-09-22
  Janney Montgomery Scott Llc
  Lutherville (Greenspring), MD
• 2018-04-10 → 2022-10-27
  Ameriprise Financial Services, Llc
  Lutherville Timonium, MD
• 2017-09-13 → 2018-04-25
  Chapin, Davis
  Baltimore, MD
  Baltimore, MD
• 2015-08-11 → 2017-08-08
  Wells Fargo Clearing Services, Llc
  Baltimore, MD
• 2013-11-15 → 2015-08-13
  Benjamin F. Edwards & Company, Inc.
  St. Louis, MO
  St. Louis, MO
  Timonium, MD
  White Plains, NY
• 2006-06-19 → 2013-11-19
  Wells Fargo Clearing Services, Llc
  Baltimore, MD
  Baltimore, MD
  Charleston, WV
  Catonsville, MD
  Columbia, MD
  Owings Mills, MD
  Columbia, MD
  Reisterstown, MD
• 2004-12-02 → 2005-12-21
  Banc Of America Investment Services, Inc.
  Baltimore, MD
  Baltimore, MD
• 2002-04-01 → 2003-12-11
  Legg Mason Wood Walker, Incorporated
  Pikesville, MD

Other Businesses

WellSpring of Life Horse Farm, Monkton, MD. Volunteer Equine Therapist: help with the safety of riders. Not compensated, 4 hrs./month, not investment related, 05/2020.

Exams

• S66 Uniform Combined State Law Examination
  2002-03-29

Other Names

• Katie L Hughes
• Katie Lynn Hughes
• Katie Hughes Feldman