Charles Barry Lipson

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2006 → 04/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Century City, CA
• 09/2009 → 04/2022
  Bank Of America, N.A.
  Century City, CA
• 04/2022 → Present
  Rbc Capital Markets, Llc
  Beverly Hills, CA

Previous Registrations

• 2006-03-08 → 2022-04-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Bedminster, NJ
  Freehold, NJ
  Freehold, NJ
  Palm Desert, CA
  New York, NY
  Indian Wells, CA
  Indian Wells, CA
  Palm Desert, CA
  Los Angeles, CA
• 2004-09-23 → 2006-03-08
  Advest, Inc.
  Bedminster, NJ

Other Businesses

(1) NAME OF ENTITY: Mission Hills East HOA ADDRESS: Seabreeze Management, 36945 Cook Street, Palm Desert, CA 92211 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jul 01, 2025 CAPACITY: Board of Directors DUTIES: Vice President—HOA decisions, budget oversight, and vendor management. HOURS DEVOTED PER MONTH: 0-4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S63 Uniform Securities Agent State Law Examination
  1991-12-06
• S65 Uniform Investment Adviser Law Examination
  1991-11-04

Other Names

• Charles B Lipson