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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:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-12-15
  • CA RA
    APPROVED
    Since 2025-12-15

Branch Locations

1901 Avenue Of The Stars Suite 1400, Century City, CA 90067-6089 • United States

Lynwood, 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
Rbc Capital Markets, Llc Century City CA 07/2022 Present
Efc Wealth Management Los Angeles CA 04/2021 11/2021
Ep Wealth Management Torrance CA 01/2019 11/2019
Whittier Trust Pasadena CA 07/2018 09/2018
Jp Morgan Securities Los Angeles CA 07/2017 12/2017
Bny Mellon Los Angeles CA 08/2015 12/2016
School Los Angeles CA 01/2017 06/2017
School Los Angeles CA 01/2018 06/2018
School Los Angeles CA 10/2018 12/2018
School Los Angeles CA 01/2020 03/2021
School Los Angeles CA 12/2021 06/2022
  • 07/2022 → Present
    Century City, CA
  • 04/2021 → 11/2021
    Efc Wealth Management
    Los Angeles, CA
  • 01/2019 → 11/2019
    Ep Wealth Management
    Torrance, CA
  • 07/2018 → 09/2018
    Whittier Trust
    Pasadena, CA
  • 07/2017 → 12/2017
    Jp Morgan Securities
    Los Angeles, CA
  • 08/2015 → 12/2016
    Bny Mellon
    Los Angeles, CA
  • 01/2017 → 06/2017
    School
    Los Angeles, CA
  • 01/2018 → 06/2018
    School
    Los Angeles, CA
  • 10/2018 → 12/2018
    School
    Los Angeles, CA
  • 01/2020 → 03/2021
    School
    Los Angeles, CA
  • 12/2021 → 06/2022
    School
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-12-13
  • S66 Uniform Combined State Law Examination
    2025-12-13

View on SEC IAPD

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