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James Ervin Stephens

Rbc Capital Markets, LLC

Franklin, TN

Nashville, TN

CRD 2139534

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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
TN RA APPROVED 2025-06-26
TX RA APPROVED 2025-06-26
  • TN RA
    APPROVED
    Since 2025-06-26
  • TX RA
    APPROVED
    Since 2025-06-26

Branch Locations

4020 Aspen Grove Drive Suite 380, Franklin, TN 37067 • United States

Nashville, TN • 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
Wells Fargo Advisors Llc Brentwood TN 05/2009 11/2016
Wells Fargo Clearing Services, Llc Brentwood TN 11/2016 04/2018
Janney Montgomery Scott Llc Franklin TN 05/2018 06/2025
Rbc Capital Markets, Llc Franklin TN 06/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-26
S63 Uniform Securities Agent State Law Examination 1991-06-07
  • S65 Uniform Investment Adviser Law Examination
    1994-04-26
  • S63 Uniform Securities Agent State Law Examination
    1991-06-07
Other Names
  • Jim Stephens
  • James Ervin Stephens
  • Jim Stephens
  • James Ervin Stephens
  • James Ervin Stephens,Jr

View on SEC IAPD

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