Alan Robert Sawaya

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

• 05/2010 → Present
  Rbc Capital Markets, Llc
  Century City, CA
• 01/2017 → Present
  City National Bank
  Beverly Hills, CA

Previous Registrations

• 2009-06-01 → 2010-05-19
  Morgan Stanley
  Los Angeles, CA
• 2003-04-30 → 2009-06-01
  Citigroup Global Markets Inc.
  Los Angeles, CA
  Los Angeles, CA
• 2003-01-17 → 2003-05-01
  Credit Suisse Securities (Usa) Llc
  Los Angeles, CA
• 2002-08-08 → 2003-01-17
  Pershing Llc
  Los Angeles, CA

Exams

• S66 Uniform Combined State Law Examination
  2002-01-26
• S63 Uniform Securities Agent State Law Examination
  1997-07-11

Other Names

• Alain Sawaya