Sarah E Wiggins

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

• 04/2012 → Present
  Rbc Capital Markets, Llc
  Houston, TX

Previous Registrations

• 2010-08-30 → 2010-11-04
  Rbc Capital Markets, Llc
  Houston, TX
• 2009-12-10 → 2010-09-08
  Morgan Stanley
  Ponte Vedra Beach, FL
• 2003-04-07 → 2009-06-18
  Rbc Capital Markets, Llc
  Plano, TX
  Frisco, TX
  Houston, TX

Other Businesses

NAME OF ENTITY: Elk Creek Condo Rental Property ADDRESS: 116 Springview Lane, Unit 304, Fraser, CO 80442 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property CAPACITY: Owner - Active START DATE: 02/01/23 DUTIES: We bought a condo that we intend on renting. We will use a rental company so there will not be much for us to handle on a day to day basis. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2003-04-05

Other Names

• Sarah Elizabeth Harmon
• Sarah Elizabeth Harmon
• Sarah Elizabeth Wiggins