Brian Christopher Neault

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

• 11/2012 → Present
  Rbc Capital Markets, Llc
  La Jolla, Ca, CA
• 08/2016 → Present
  City National Bank
  La Jolla, CA

Previous Registrations

• 2009-10-22 → 2012-11-16
  Morgan Stanley
  San Diego, CA

Other Businesses

NAME OF ENTITY: LFG Racing ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Horse Racing START DATE: 09.14.23 CAPACITY: Independent Contractor/Consultant DUTIES: I will be assisting in deciding which horses to purchase a share of. My extensive knowledge in the horse racing world is respected by my friend who owns the S Corporation. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2009-10-16