Richard Scott Friedman

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 Corporation
  Houston, TX

Other Businesses

(1) OWNER OF RENTAL PROPERTY *** 12800 MELVILLE DR., CONROE, TX 77356 *** START DATE: 05/01/12 *** END DATE: 12/31/44 *** DUTIES: MAINTENANCE *** APROX # OF HOURS PER MONTH: .25 (2) NAME OF ENTITY: Galvestonian Condominium Association Inc ADDRESS: 1401 E Beach Dr Ste 325 Galveston TX 77550 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Jun 10, 2026 CAPACITY: Committee/Council Member DUTIES: Responsibilities: Review financial statements, budget performance, and reserve funding information. Discuss operating expenses, capital projects, and financial trends affecting the Association. Provide recommendations related to budgeting, reserve planning, and financial priorities. Assist in reviewing long-term financial strategies and funding considerations as required or requested by Ad-Hoc Committees or the Board. Review financial policies and procedures as requested by the Board or Management. Make recommendations to the Board of Directors for consideration. Limitations: The committee serves in an advisory role only and does not have decision-making authority. The committee may not direct staff, vendors, contractors, auditors, or management. The committee may not approve expenditures, contracts, assessments, or financial policies. Final authority on all financial matters remains with the Board of Directors. Committee discussions and financial materials should remain professional and confidential when appropriate. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2002-06-14
• S63 Uniform Securities Agent State Law Examination
  1991-12-26