KS
Kent R. Snodgrass
RBC CAPITAL MARKETS
Fort Worth, TX 76107-5769
Some features on this profile are disabled
CRD#: 1017827
KS
Professional summary
Kent Roger Snodgrass is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Fort Worth, Texas.
Kent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Kent has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) CHESAPEAKE ENERGY; ADDRESS; OKLAHOMA, OK, NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PUBLIC COMPANY, ROYALTIES FROM LAND OF MY PERSONAL RESIDENCE; CAPACITY: OWNER; START DATE: 9/1/2001; DUTIES: SIMPLY RECEIVE ROYALTIES FOR PROPERTY OWNERSHIP OF MY RESIDENCE; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.
(2) MIRA VISTA COUNTRY CLUB; ADDRESS: 6600 MIRA VISTA BLVD, FORT WORTH, TX 76132; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: COUNTRY CLUB; CAPACITY: BOARD OF DIRECTORS; START DATE: 3/1/2016; DUTIES: GENERAL BOARD LEVEL DECISION FOR THE CLUB; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.
(3) DKSK, LLC.; ADDRESS: 1205 1ST STREET, ABERNATHY, TX 79311; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: FARM; CAPACITY: PARTNER; START DATE: 2/12/2018; DUTIES: ANNUAL MEETING AND ANY ADDITIONAL NEEDED DECISION; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.
(4) Name: BBCP Rustic LLC
Address: 11234 Shelterwood Circle Dallas TX 75229
Business Description: investment in restaurant entity
Business is not investment related
Projected Start Date: 10/01/20
Capacity: Other
Duties Performed: Passive investor
Devoted to this OBA per Month: none--passive investor
Hours Devoted to this OBA during business hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Kent Roger Snodgrass's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kent Roger Snodgrass's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 2, 2015 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 3230 Camp Bowie Blvd Suite 750, Fort Worth, TX 76107-5769RIA
BD
CRD#: 31194
Fort Worth, TX
Current
October 2, 2015 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 3230 Camp Bowie Blvd Suite 750, Fort Worth, TX 76107-5769RIA
BD
CRD#: 31194
Fort Worth, TX
Past
May 1, 2009 - October 30, 2015
FSW ADVISORY SERVICES INC.
RIA
CRD#: 148818
FORT WORTH, TX
Past
July 30, 2007 - October 30, 2015
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
RIA
CRD#: 110760
DALLAS, TX
Past
December 14, 2004 - October 5, 2015
FIRST SOUTHWEST COMPANY, LLC
BD
CRD#: 316
FORT WORTH, TX
Past
January 10, 1995 - February 7, 2005
MOUNTAIN RIVER SECURITIES, INC.
BD
CRD#: 36937
DENVER, CO
Past
April 15, 1994 - February 3, 1995
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
April 15, 1991 - May 11, 1994
FIRST WESTERN SECURITIES, INC.
BD
CRD#: 19537
HURST, TX
Past
January 4, 1990 - March 5, 1991
MASTERSON MORELAND SAUER WHISMAN, INC.
BD
CRD#: 16815
Past
August 28, 1984 - January 30, 1990
APS FINANCIAL CORPORATION
BD
CRD#: 10033
AUSTIN, TX
Past
July 5, 1983 - September 4, 1984
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
November 17, 1981 - June 16, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(8/17/2017)
RR
California(10/2/2015)
RR
Colorado(11/24/2015)
RR
Indiana(9/27/2025)
RR
Nevada(11/30/2021)
RR
New Mexico(10/2/2015)
RR
Pennsylvania(11/13/2023)
RR
South Carolina(10/2/2015)
RR
South Dakota(3/20/2018)
RR
Tennessee(10/15/2021)
RR
Texas(10/2/2015)
IAR
Texas(10/2/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
