Brian Harkness Wells

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

• 01/2014 → 09/2023
  Ubs Financial Services Inc
  Boston, MA
• 09/2023 → Present
  Rbc Capital Markets, Llc
  Marin, CA

Previous Registrations

• 2014-01-17 → 2023-10-02
  Ubs Financial Services Inc.
  Boston, MA
• 2009-06-01 → 2014-01-23
  Morgan Stanley
  Boston, MA
• 2008-08-05 → 2009-06-01
  Morgan Stanley & Co. Llc
  Boston, MA

Other Businesses

(1) Name of Entity: 702 Marina Villas, Captiva, FL 33924 Non-investment related Address of entity: 702 Marina Villas Captiva, FL 33924 Nature of OBA: Investment property Position/title/Relationship: Owner - Passive Start date: 10/03/23 Time devoted: 0 Duties: Passive ownership

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-08-26
• S63 Uniform Securities Agent State Law Examination
  1998-02-10

Other Names

• Brian H Wells