Steven Alan Herzog

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

• 03/2008 → Present
  Rbc Capital Markets Llc
  Houston, TX
• 09/2017 → Present
  City National Bank
  Houston, TX

Other Businesses

(1) NAME OF ENTITY: mash family partnership ADDRESS: 11815 Durrette Houston Texas 77024 INVESTMENT/NOT INVESTMENT RELATED: Yes BUSINESS DESCRIPTION: Private Company START DATE: Sep 11, 2018 CAPACITY: Other DUTIES: Limited partner HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-01-16
• S63 Uniform Securities Agent State Law Examination
  1991-10-10