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Employer firm

Rbc Securities, Inc CRD 103705

$1.52B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Securities, Inc

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-07-01
  • CA RA
    APPROVED
    Since 2025-07-01

Branch Locations

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States

Los Angeles, 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
Equitable Advisors, Llc New York NY 11/2023 05/2024
Slab Gasket Houston TX 05/2023 08/2023
Fieldings Local Kitchen & Bar Houston TX 05/2022 08/2022
Slab Gasket Houston TX 05/2020 08/2020
Southern Methodist University Dallas TX 08/2020 12/2023
Strake Jesuit College Preparatory Houston TX 08/2016 05/2020
Octavia Wealth Advisors, Llc Los Angeles CA 06/2024 02/2025
Purshe Kaplan Sterling Investments Albany NY 09/2024 02/2025
City National Securities, Inc. Los Angeles CA 03/2025 06/2025
City National Securities, Inc. Los Angeles CA 06/2025 Present
  • 11/2023 → 05/2024
    New York, NY
  • 05/2023 → 08/2023
    Slab Gasket
    Houston, TX
  • 05/2022 → 08/2022
    Fieldings Local Kitchen & Bar
    Houston, TX
  • 05/2020 → 08/2020
    Slab Gasket
    Houston, TX
  • 08/2020 → 12/2023
    Southern Methodist University
    Dallas, TX
  • 08/2016 → 05/2020
    Strake Jesuit College Preparatory
    Houston, TX
  • 06/2024 → 02/2025
    Los Angeles, CA
  • 09/2024 → 02/2025
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 03/2025 → 06/2025
    City National Securities, Inc.
    Los Angeles, CA
  • 06/2025 → Present
    City National Securities, Inc.
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-01-29
  • S66 Uniform Combined State Law Examination
    2024-01-29
Other Names
  • Noah Stomberg
  • Noah Philip Stomberg

View on SEC IAPD

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