KH
Katie L. Hughes
RBC CAPITAL MARKETS
Hunt Valley, MD 21031-1125
Some features on this profile are disabled
CRD#: 4330783
KH
Professional summary
Katie Lynn Hughes, who also goes by Katie Hughes Feldman, Katie L Hughes, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Hunt Valley, Maryland.
Katie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Katie has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Hughes Feldman | Katie L Hughes
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.
WellSpring of Life Horse Farm, Monkton, MD. Volunteer Equine Therapist: help with the safety of riders. Not compensated, 4 hrs./month, not investment related, 05/2020.
CRS (Client Relationship Summary) - RIA
Click below to view Katie Lynn Hughes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katie Lynn Hughes'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
September 22, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 225 Schilling Circle Suite 250, Hunt Valley, MD 21031-1125RIA
BD
CRD#: 31194
Hunt Valley, MD
Current
September 22, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 225 Schilling Circle Suite 250, Hunt Valley, MD 21031-1125RIA
BD
CRD#: 31194
Hunt Valley, MD
Past
October 24, 2022 - September 22, 2025
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
Lutherville (Greenspring), MD
Past
October 24, 2022 - September 22, 2025
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
Lutherville (Greenspring), MD
Past
April 10, 2018 - October 27, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Lutherville Timonium, MD
Past
April 10, 2018 - October 27, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Lutherville Timonium, MD
Past
September 13, 2017 - April 25, 2018
CHAPIN, DAVIS
RIA
CRD#: 28116
BALTIMORE, MD
Past
September 13, 2017 - April 25, 2018
CHAPIN, DAVIS
BD
CRD#: 28116
BALTIMORE, MD
Past
August 11, 2015 - August 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BALTIMORE, MD
Past
August 11, 2015 - August 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BALTIMORE, MD
Past
November 15, 2013 - August 13, 2015
BENJAMIN F. EDWARDS & COMPANY, INC.
RIA
CRD#: 146936
BALTIMORE, MD
Past
November 15, 2013 - August 13, 2015
BENJAMIN F. EDWARDS & COMPANY, INC.
BD
CRD#: 146936
BALTIMORE, MD
Past
June 19, 2006 - November 19, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BALTIMORE, MD
Past
June 19, 2006 - November 19, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BALTIMORE, MD
Past
December 2, 2004 - December 21, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BALTIMORE, MD
Past
December 2, 2004 - December 21, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BALTIMORE, MD
Past
April 1, 2002 - December 11, 2003
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
PIKESVILLE, MD
Past
October 22, 2001 - December 11, 2003
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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
Arizona(9/24/2025)
RR
Arkansas(9/24/2025)
RR
California(9/24/2025)
RR
Colorado(9/24/2025)
RR
Connecticut(9/24/2025)
RR
Delaware(9/24/2025)
RR
District of Columbia(9/24/2025)
RR
Florida(9/24/2025)
RR
Georgia(9/24/2025)
RR
Idaho(9/24/2025)
RR
Illinois(9/24/2025)
RR
Indiana(9/24/2025)
RR
Kansas(9/24/2025)
RR
Kentucky(9/24/2025)
RR
Louisiana(9/24/2025)
RR
Maine(10/31/2025)
RR
Maryland(9/22/2025)
IAR
Maryland(9/22/2025)
RR
Massachusetts(9/24/2025)
RR
Michigan(9/24/2025)
RR
Mississippi(9/24/2025)
RR
Nevada(9/24/2025)
RR
New Hampshire(9/24/2025)
RR
New Jersey(9/24/2025)
RR
New York(9/24/2025)
RR
North Carolina(9/24/2025)
RR
Ohio(9/24/2025)
RR
Oregon(9/24/2025)
RR
Pennsylvania(9/24/2025)
RR
Rhode Island(9/24/2025)
RR
South Carolina(9/24/2025)
RR
Tennessee(9/24/2025)
RR
Texas(9/24/2025)
RR
Vermont(9/24/2025)
RR
Virginia(9/24/2025)
RR
Washington(9/24/2025)
RR
West Virginia(9/24/2025)
RR
Wyoming(9/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
RBC CAPITAL MARKETS, LLC
CRD#: 31194Hunt Valley, MD 21031-1125TRUST BUT VERIFY
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