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Rbc Securities, Inc CRD 103705
$1.52B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-04-24 |
Branch Locations
555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | New York | NY | 10/2016 | 06/2024 |
| City National Securities | New York | NY | 03/2025 | Present |
| Unemployed | Kings Park | NY | 07/2024 | 02/2025 |
| City National Bank | New York | NY | 09/2016 | 06/2024 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-12-22 |
| S65 | Uniform Investment Adviser Law Examination | 2007-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-19 |
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