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James George Walls

Rbc Securities, Inc

Los Angeles, CA

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Current Employers
Rbc Securities, Inc

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-05-02
MD RA APPROVED 2025-03-28
  • MA RA
    APPROVED
    Since 2025-05-02
  • MD RA
    APPROVED
    Since 2025-03-28

Branch Locations

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bb&T Retirement & Institutional Services Baltimore MD 09/2015 12/2020
Ascensus Baltimore MD 03/2021 03/2023
Pnc Baltimore MD 04/2023 10/2024
City National Securities, Inc. Los Angeles CA 11/2024 Present
  • 09/2015 → 12/2020
    Bb&T Retirement & Institutional Services
    Baltimore, MD
  • 03/2021 → 03/2023
    Ascensus
    Baltimore, MD
  • 04/2023 → 10/2024
    Pnc
    Baltimore, MD
  • 11/2024 → Present
    City National Securities, Inc.
    Los Angeles, CA
Previous Registrations
  • 2021-05-18 → 2023-04-06
    Ascensus Investment Advisors, Llc
    Needham, MA
    Baltimore, MD
  • 2015-10-01 → 2020-12-31
    Bb&T Institutional Investment Advisers, Inc.
    Baltimore, MD
    Greenville, SC
  • 2008-11-24 → 2015-09-08
    Osaic Fa, Inc.
    Baltimore, MD
    Fort Wayne, IN
    Baltimore, MD
    Baltimore, MD
  • 2008-06-05 → 2008-11-10
    Wilmington Trust Investment Advisors, Inc.
    Baltimore, MD
  • 2008-07-07 → 2008-10-24
    M&T Securities, Inc.
    Baltimore, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-03
S63 Uniform Securities Agent State Law Examination 2006-11-03
  • S65 Uniform Investment Adviser Law Examination
    2008-06-03
  • S63 Uniform Securities Agent State Law Examination
    2006-11-03
Other Names
  • James George Walls

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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