La Jolla, CA Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
RBC Securities, Inc.
Multi-team
Firm-wide stats for RBC Securities, Inc.
About
RBC Securities, Inc. provides wealth management and brokerage services to individuals (including high‑net‑worth clients), trusts, estates, IRAs and retirement plans through its wrap‑fee investment advisory program. The firm is registered as both an SEC investment adviser and a FINRA broker‑dealer and delivers financial planning, portfolio management and ongoing reporting to program participants.
Investment management under the RBC Securities Investment Advisory Program is delegated to an affiliated sub‑advisor, RBC Rochdale, which constructs asset allocation strategies, implements portfolios with mutual funds, ETFs, SMAs and, where appropriate, individual securities, and documents objectives in an Investment Policy Statement. Accounts are managed on a discretionary, asset‑based fee basis (the firm does not offer fixed‑fee advisory mandates for the program) and use custodial and cash‑management features that include an affiliated bank sweep option and a government money‑market fund.
What distinguishes RBC Securities from many multi‑team advisers is its integration within a broad financial services group: it is affiliated with a bank parent and related entities that include a trust company, municipal advisory and pension consulting activities, broker‑dealer distribution services, and other trading businesses (including futures, swaps and commodity activity), which creates intercompany referral and fee‑sharing arrangements. The brochure discloses how those relationships are managed — for example, use of affiliated City National Rochdale funds with periodic fee rebates, an affiliated deposit sweep program, soft‑dollar and proprietary research arrangements, and related conflicts — and it also notes prior regulatory matters at the firm and a parent‑level legal event that led to a Department of Labor QPAM exemption.
Based on RBC Securities, Inc.
Location
4275 Executive Square, 7th Floor
La Jolla CA 92037
Advisors at this office
5
Advisors at this office
Peter L
Series 63, Series 65
La Jolla, CA
RBC Securities, Inc
Peter Litton is a financial advisor with RBC Securities, Inc. based in La Jolla, CA. He holds Series 63 and Series 65 credentials and has 20 years of industry experience. His prior work includes roles at City National Bank and Comerica Securities, Inc., as well as Comerica Bank. Outside of advising, he is an officer of Litton Enterprises, an S-Corp co-owned with his brother that holds a minority share in the Norfolk Tides minor league baseball team. RBC Securities, Inc. provides wealth management and brokerage services to individuals, trusts, estates, IRAs, and retirement plans through its wrap-fee investment advisory program. The firm integrates its advisory services within a broad financial services group affiliated with a bank parent, offering financial planning, portfolio management, and custodial features through a multi-team platform.
Nora K
Series 63, Series 65
La Jolla, CA
RBC Securities, Inc
Nora Kouza is a financial advisor with RBC Securities, Inc. based in La Jolla, CA. She holds Series 63 and Series 65 credentials and has 15 years of industry experience. Her prior work includes roles at City National Bank and Unionbanc Investment Services. RBC Securities, Inc. offers wealth management and brokerage services to individuals, trusts, estates, IRAs, and retirement plans through its wrap-fee investment advisory program. The firm combines financial planning and portfolio management with access to affiliated sub-advisors and a range of custodial and cash-management features.
Damon F
Series 66
La Jolla, CA
RBC Securities, Inc
Damon Francis is a financial advisor with RBC Securities, Inc., holding a Series 66 designation and with 20 years of industry experience. His prior firms include Unionbanc Investment Services and City National Securities, Inc. He has personal investments as a limited partner in multiple real estate ventures across several states, involving multi-family and industrial properties. RBC Securities provides wealth management and brokerage services to individuals, trusts, estates, IRAs, and retirement plans through its wrap-fee investment advisory program. Investment management is delegated to RBC Rochdale, which constructs and implements diversified asset allocation strategies for clients.
Richard E
Series 63, Series 66
La Jolla, CA
RBC Securities, Inc
Richard Engbrecht is a financial advisor with RBC Securities, Inc. based in La Jolla, CA, holding Series 63 and Series 66 licenses and possessing 21 years of industry experience. His prior work history includes roles at City National Bank from 2018 to present, Unionbanc Investment Services from 2010 to 2018, and Union Bank from 2009 to 2018. RBC Securities, Inc. provides wealth management and brokerage services to individuals, trusts, estates, IRAs, and retirement plans through a wrap-fee investment advisory program. The firm integrates its advisory services within a broader financial services group affiliated with a bank, offering portfolio management, financial planning, and a range of custodial and cash-management features.
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