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Rbc Securities, Inc CRD 103705
$1.52B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-08-26 |
Branch Locations
400 Park Avenue, 8Th Floor, New York, NY 10022 • United States
55 S. Lake Ave 6Th Floor, Pasadena, CA 91101 • United States
San Dimas, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc | Los Angeles | CA | 09/2007 | 09/2018 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 10/2018 | 08/2021 |
| Wells Fargo Bank | Los Angeles | CA | 10/2018 | 08/2021 |
| City National Bank | Pasadena | CA | 08/2021 | Present |
| City National Securities | Pasadena | CA | 08/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-03-03 |
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