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Stephen Hallett Ellsworth

Rbc Capital Markets, LLC

Pearland, TX

Houston, TX

CRD 4824164

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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:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-01-08
  • TX RA
    APPROVED
    Since 2026-01-08

Branch Locations

Pearland, TX • United States

750 Town And Country Blvd Suite 325 & 175, Houston, TX 77024-4576 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W Baird & Co Houston TX 05/2006 01/2026
Rbc Capital Markets, Llc Houston TX 01/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-03
  • S66 Uniform Combined State Law Examination
    2004-09-03
Other Names
  • Stephen Hallett Ellworth

View on SEC IAPD

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