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William Shepard Waits

Rbc Capital Markets, LLC

Germantown, TN

Daphne, AL

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2024-12-23
MS RA APPROVED 2024-12-13
TX RA APPROVED_RES 2024-12-12
TN RA APPROVED 2024-12-10
  • AL RA
    APPROVED
    Since 2024-12-23
  • MS RA
    APPROVED
    Since 2024-12-13
  • TX RA
    APPROVED_RES
    Since 2024-12-12
  • TN RA
    APPROVED
    Since 2024-12-10

Branch Locations

6815 Poplar Avenue Suite 210, Germantown, TN 38138 • United States

Daphne, AL • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
B. Riley Wealth Management Memphis TN 11/2005 12/2024
B. Riley Wealth Advisors, Inc. Memphis TN 07/2022 12/2024
Rbc Capital Markets, Llc Germantown TN 12/2024 Present
Previous Registrations
  • 2022-07-26 → 2024-12-23
    B. Riley Wealth Advisors, Inc.
    Memphis, TN
    Daphne,, AL
  • 2004-03-30 → 2022-12-31
    B. Riley Wealth Management
    Memphis, TN
    Memphis, TN
    Memphis, TN
    Daphne, AL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-07-25
S63 Uniform Securities Agent State Law Examination 1979-08-31
  • S65 Uniform Investment Adviser Law Examination
    2003-07-25
  • S63 Uniform Securities Agent State Law Examination
    1979-08-31
Other Names
  • Williams Sheppard Waits
  • William S Waits

View on SEC IAPD

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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · GERMANTOWN, TN
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