RBC SECURITIES, INC.

Broker-DealerFINRA MemberEst. 2010

Total AUM

$1.5B

Discretionary

$1.5B

100% of AUM

Accounts

1,781

Employees

186

Advisory reps

189

Brokerage reps

183

Firm details

Headquarters: Los Angeles, California
CRD number: 103705
Registered since: March 22, 2010
Website: www.cnb.com
Custodians: CITY NATIONAL BANK
Fee structure: Percentage of AUM, Other
Client types: HNWI53.75%
Individuals24.54%
Corporations / Businesses10.68%
Charitable Organizations5.9%
Pension & Profit Sharing Plans5.13%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

RBC Securities, Inc. operates as a broker-dealer with additional investment-banking and insurance broker-dealer classifications. The firm acts as a capital allocator and serves both individual/family and institutional clients. Its advisory services include financial planning, portfolio management for individuals, small businesses and institutions, and the selection of other advisers. Fee arrangements include percentage-of-AUM billing and other fee structures. The firm is not identified as an active ESG investor. Regulatory and industry roles extend beyond pure brokerage: filings indicate affiliations consistent with municipal advising, sponsor or manager roles for pooled vehicles, futures and swaps activity, and banking or trust relationships. That combination suggests the firm supports transactional brokerage and advisory mandates as well as sponsor/manager responsibilities for pooled investments.