Sign in
Create a free account
RBC SECURITIES, INC.
LOS ANGELES, CA
310-888-6400
SEC #801-71181Total AUM
$1.5B
Employees
186Clients
1,451Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
555 SOUTH FLOWER STREET
11TH FLOOR
LOS ANGELES
CA 90071
United States
11TH FLOOR
LOS ANGELES
CA 90071
United States
Operating Hours
6:30 TO 5:00 PST
Monday - Friday
Monday - Friday
Phone
310-888-6400
Other Offices
24
Financials
Total AUM
$1.5B
Accounts
1,781Discretionary
$1.5B
Accounts
1,781Non-Discretionary
$0
Accounts
0
Clients
Individual Clients
955AUM
$371.8M
HNW Individual Clients
337AUM
$814.3M
Pension/Profit Sharing Plan Clients
52AUM
$77.7M
Charitable Organization Clients
25AUM
$89.4M
Corporation or Business Clients
82AUM
$161.9M
Services
Services Offered
Advisor / Fund Manager SelectionFinancial PlanningIndividual Portfolio ManagementInstitutional Portfolio Management
Compensation Types
Charges Other FeeCharges Percentage AUM
Other Compensation
MUTUAL FUND FEES, BROKER FEES & TRANSACTION FEES
Compliance
Disclosures
Court Injunction (Past 10 Years)Court Violation FindingOther Regulator Denial/Suspension/RevocationOther Regulator Order (Past 10 Years)Other Regulator Violation FindingPending Regulatory ProceedingSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Discipline/Expulsion/SuspensionSRO Rule Violation
State Registrations
AKARAZCACOCTDCDEFLGAHIIDILINKSLAMAMDMNNJNVNYOHOKORPATNTXUTVAWA
Affiliates
Affiliates
Reported 6 business affiliates.
Claimed Affiliates
Reported as an affiliate by 8 other businesses.