Joshua Aaron Frieze

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

• 07/2015 → 09/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boca Raton, FL
• 09/2020 → 08/2024
  Rbc Capital Markets, Llc
  Charlotte, NC
• 11/2024 → 03/2025
  Empower Advisory Group, Llc
  Greenwood Village, CO
• 11/2024 → 03/2025
  Empower Financial Services, Inc
  Greenwood Village, CO
• 03/2025 → Present
  Rbc Capital Markets, Llc
  Charlotte, NC

Previous Registrations

• 2024-11-29 → 2025-03-07
  Empower Advisory Group, Llc
  Rock Hill, SC
  Greenwood Village, CO
• 2020-09-04 → 2024-09-13
  Rbc Capital Markets, Llc
  Boca Raton, FL
  Charlotte, NC
• 2016-06-22 → 2020-09-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boca Raton, FL
  Boca Raton, FL
  Boca Raton, FL

Exams

• S66 Uniform Combined State Law Examination
  2016-06-20

Other Names

• Joshua A Frieze