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Detailed Report
SCOTT EDWARD DEFFINBAUGH
CRD#: 4003676
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 1055 MILITARY CUTOFF ROAD
SUITE 200
WILMINGTON, NC 28405-4367
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (16 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)1999 - 2007 (8 years)IAUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2004 - 2007 (3 years)
License(s)

State Registrations

B
Alabama 10/10/2024
B
New Jersey 10/10/2024
B
California 1/10/2011
B
New Mexico 10/10/2024
B
Colorado 8/28/2015
B
New York 1/10/2011
B
Connecticut 10/10/2024
B
North Carolina 5/5/2011
B
Delaware 2/9/2024
IA
North Carolina 9/11/2017
B
District of Columbia 2/27/2009
B
Ohio 9/8/2022
IA
District of Columbia 3/11/2009
B
Pennsylvania 3/12/2009
B
Florida 2/27/2009
B
South Carolina 9/16/2011
B
Georgia 1/20/2011
B
South Dakota 10/10/2024
B
Hawaii 2/13/2020
B
Tennessee 10/10/2024
B
Illinois 3/24/2011
B
Texas 8/13/2018
B
Iowa 10/10/2024
IA
Texas 8/13/2018
B
Kentucky 10/10/2024
B
Utah 10/10/2024
B
Louisiana 12/12/2024
B
Vermont 9/13/2013
B
Maine 10/10/2024
B
Virginia 2/27/2009
B
Maryland 2/27/2009
B
Washington 10/10/2024
B
Massachusetts 8/19/2019
B
West Virginia 2/27/2009
B
Michigan 2/1/2019
B
Wyoming 12/17/2018
B
Missouri 10/10/2024

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)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
1055 MILITARY CUTOFF ROAD SUITE 200, WILMINGTON, NC 28405-4367
WILMINGTON, NC
Registered with this firm since 2/27/2009
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
1055 MILITARY CUTOFF ROAD SUITE 200, WILMINGTON, NC 28405-4367
WILMINGTON, NC
Registered with this firm since 2/27/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/09/2007 - 02/27/2009 LPL FINANCIAL CORPORATION (CRD#:6413) OLNEY, MD
B
 10/09/2007 - 02/27/2009 LPL FINANCIAL CORPORATION (CRD#:6413) OLNEY, MD
IA
 04/23/2004 - 10/09/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) OLNEY, MD
B
 09/14/1999 - 10/09/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) OLNEY, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.