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SARAH E WIGGINS
SARAH ELIZABETH HARMON, SARAH ELIZABETH WIGGINS
CRD#: 3206091
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 750 TOWN AND COUNTRY BLVD
SUITE 325
HOUSTON, TX 77024-4576
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2010 (<1 year)2 FIRMS2012 - Present (12 years)BRBC CAPITAL MARKETS CORPORATION (CRD# 31194)2002 - 2009 (6 years)BPROSPERA FINANCIAL SERVICES, INC. (CRD# 10740)2002 - 2002 (<1 year)IARBC CAPITAL MARKETS CORPORATION (CRD# 31194)2003 - 2009 (6 years)
License(s)

State Registrations

B
Arkansas 8/14/2019

IA
Texas 4/30/2012

B
Massachusetts 8/14/2019

B
Texas 5/3/2012

B
Montana 8/8/2023

B
Utah 8/23/2019

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
The Woodlands, TX
Registered with this firm since 5/3/2012

IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
The Woodlands, TX
Registered with this firm since 4/30/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/30/2010 - 11/04/2010 RBC CAPITAL MARKETS, LLC (CRD#:31194) HOUSTON, TX
B
08/30/2010 - 11/04/2010 RBC CAPITAL MARKETS, LLC (CRD#:31194) HOUSTON, TX
IA
12/10/2009 - 09/08/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) PONTE VEDRA BEACH, FL
B
12/08/2009 - 09/08/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PONTE VEDRA BEACH, FL
IA
04/07/2003 - 06/18/2009 RBC CAPITAL MARKETS CORPORATION (CRD#:31194) HOUSTON, TX
B
12/19/2002 - 06/18/2009 RBC CAPITAL MARKETS CORPORATION (CRD#:31194) HOUSTON, TX
B
10/16/2002 - 12/17/2002 PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740) DALLAS, TX
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.