Sean R Carter

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

Authority	Category	Status	Date
VI	RA	APPROVED	2026-06-03
NJ	RA	APPROVED	2026-04-29
TX	RA	APPROVED_RES	2026-04-29

VI RA
APPROVED

Since 2026-06-03
NJ RA
APPROVED

Since 2026-04-29
TX RA
APPROVED_RES

Since 2026-04-29

Branch Locations

Hamilton, NJ • United States

3000 Atrium Way Suite 500, Mount Laurel, NJ 08054-3914 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Mount Lauren	NJ	09/2012	04/2026
Rbc Capital Markets, Llc	Mount Laurel	NJ	04/2026	Present

09/2012 → 04/2026

Ubs Financial Services Inc.

Mount Lauren, NJ
04/2026 → Present

Rbc Capital Markets, Llc

Mount Laurel, NJ

Previous Registrations

2012-09-26 → 2026-05-11

Ubs Financial Services Inc.

Mt. Laurel, NJ

Trenton, NJ
2009-12-09 → 2012-09-27

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mount Laurel, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-12-02

S66 Uniform Combined State Law Examination

2009-12-02

Designations

Certified Financial Planner

Other Names

Sean R Carter
Sean Carter

View on SEC IAPD