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Employer firm

Rbc Securities, Inc CRD 103705

$1.52B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers

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

Current Employers
Rbc Securities, Inc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-03-02
  • CA RA
    APPROVED
    Since 2026-03-02

Branch Locations

18111 Von Karman Ave. 4Th Floor, Irvine, CA 92612 • United States

400 Park Avenue, 8Th Floor, New York, NY 10022 • United States

Irvine, CA • 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
Wells Fargo Bank Na Irvine CA 05/2006 10/2018
Wells Fargo Advisors Llc Irvine CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Irvine CA 11/2016 10/2018
Bancwest Investment Services, Inc. Newport Beach CA 10/2018 02/2023
Bmo Bank Na Newport Beach CA 10/2018 09/2024
Lpl Financial Llc Huntington Beach CA 07/2023 09/2024
Ameriprise Financial Services, Llc Costa Mesa CA 09/2024 02/2026
Rbc Securities, Inc Irvine CA 02/2026 Present
Previous Registrations
  • 2024-09-16 → 2026-02-24
    Costa Mesa, CA
    Irvine, CA
  • 2023-07-19 → 2024-09-17
    Huntington Beach, CA
    Newport Beach, CA
    Long Beach, CA
    La Habra, CA
    Brea, CA
    Anaheim, CA
    Stanton, CA
  • 2018-10-18 → 2023-07-19
    Bancwest Investment Services, Inc.
    Newport Beach, CA
    Stanton, CA
    Long Beach, CA
    Huntington Beach, CA
    Anaheim, CA
    Brea, CA
    San Diego, CA
    Santa Ana, CA
    Tustin, CA
    Garden Grove, CA
    La Habra, CA
  • 2011-01-03 → 2018-10-19
    Irvine, CA
    Irvine, CA
    Irvine, CA
  • 2008-08-18 → 2011-01-03
    Wells Fargo Investments, Llc
    Mission Viejo, CA
    Mission Viejo, CA
    Irvine, CA
Other Businesses

Outside Employment; City National Bank; I am an employee of City National Bank and I wear a dual hat as a licensed individual. ; Retail; 18111 VON KARMAN AVE.4th Floor IRVINE, CA, USA, 92612; Investment-Related; 02/23/2026; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-15
  • S66 Uniform Combined State Law Examination
    2008-08-15

View on SEC IAPD

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