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Lauren Yung Phan

Rbc Capital Markets, LLC

Rolling Hills, CA

Palos Verdes Estates, CA

CRD 7041272

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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 2022-11-29
TX RA APPROVED 2022-11-29
  • CA RA
    APPROVED
    Since 2022-11-29
  • TX RA
    APPROVED
    Since 2022-11-29

Branch Locations

608 Silver Spur Road Suite 100, Rolling Hills, CA 90274 • United States

Palos Verdes Estates, 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
Rolling Hills Country Club Rolling Hills Estates CA 08/1990 11/2018
Rbc Capital Markets, Llc. Palos Verdes CA 11/2018 03/2022
City National Bank Rolling Hills CA 11/2019 03/2022
Rbc Capital Markets, Llc Rolling Hills Estate CA 11/2022 Present
N/A Palos Verdes Estates CA 03/2022 11/2022
  • 08/1990 → 11/2018
    Rolling Hills Country Club
    Rolling Hills Estates, CA
  • 11/2018 → 03/2022
    Rbc Capital Markets, Llc.
    Palos Verdes, CA
  • 11/2019 → 03/2022
    City National Bank
    Rolling Hills, CA
  • 11/2022 → Present
    Rbc Capital Markets, Llc
    Rolling Hills Estate, CA
  • 03/2022 → 11/2022
    N/A
    Palos Verdes Estates, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-07
  • S66 Uniform Combined State Law Examination
    2019-06-07
Other Names
  • Dung Thi My Phan

View on SEC IAPD

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MICHELLE PED
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Nearby Offices

RAYMOND JAMES & ASSOCIATES, INC. · ROLLING HILLS ESTATES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROLLING HILLS ESTATES, CA
INDEPENDENT FINANCIAL GROUP, LLC · Rolling Hills Estate, CA

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