Los Angeles, CA Century Park East 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
2029 Century Park East, 1st Floor
Los Angeles CA 90067
Advisors at this office
6
Advisors at this office
Raymond M
Series 66
Los Angeles, CA
RBC Securities, Inc
Raymond Martinez Jr. is a financial advisor at RBC Securities, Inc. with 20 years of industry experience. He holds a Series 66 designation and has worked previously at City National Bank and CITI Private Bank. Martinez serves as a board member for the San Diego Volunteer Lawyer Program, a nonprofit providing pro-bono legal services to disadvantaged individuals. 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 integrates advisory services within a broader financial services group affiliated with a bank, providing portfolio management and financial planning supported by an affiliated sub-advisor.
Craig K
CFP®, Series 63, Series 65
Los Angeles, CA
RBC Securities, Inc
Craig Kelley is a CFP® professional with 16 years of industry experience, currently with RBC Securities, Inc. in Los Angeles, CA. He has been associated with City National Bank since 2000. 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 integrates investment management with a broad financial services group and offers financial planning, portfolio management, and ongoing reporting.
Matthew S
Series 63, Series 65
Los Angeles, CA
RBC Securities, Inc
Matthew Steiger is a financial advisor with RBC Securities, Inc. in Los Angeles, CA, holding Series 63 and Series 65 licenses and bringing 16 years of industry experience. He previously worked at City National Securities and Convergent Wealth Advisors, LLC. RBC Securities, Inc. offers wealth management and brokerage services to individuals, trusts, estates, IRAs, and retirement plans through a wrap-fee investment advisory program. The firm delegates investment management to an affiliated sub-advisor and is affiliated with a broader financial services group that includes banking, trust, and municipal advisory services.
Erik L
Series 63, Series 65
Los Angeles, CA
RBC Securities, Inc
Erik Larsen is a financial advisor with RBC Securities, Inc. in Los Angeles, CA, holding Series 63 and Series 65 licenses and bringing 24 years of industry experience. He previously worked at Citigroup Global Markets for 11 years and Citicorp Investment Services for 4 years. Larsen serves as a board member and treasurer of the Rose Bowl Aquatic Center, which offers swim, dive, and water polo lessons to the local community. RBC Securities, Inc. provides wealth management and brokerage services to individuals, trusts, estates, IRAs, and retirement plans through its wrap-fee investment advisory program, with portfolio management delegated to an affiliated sub-advisor. The firm operates within a broader financial services group that includes banking, trust, and consulting entities, offering integrated financial solutions and ongoing reporting to clients.
Wayne R
Series 63, Series 65
Los Angeles, CA
RBC Securities, Inc
Wayne Rogers is a financial advisor with RBC Securities, Inc. based in Los Angeles, CA, holding Series 63 and Series 65 licenses and having 22 years of industry experience. His prior work includes roles at City National Bank and TD Bank, N.A. Outside of his advisory work, he serves as a soccer referee with multiple regional soccer referee associations. 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’s investment management is delegated to an affiliated sub-advisor, RBC Rochdale, which implements discretionary portfolios using mutual funds, ETFs, SMAs, and individual securities.
Ali B
Series 66
Los Angeles, CA
RBC Securities, Inc
Ali Banki is a financial advisor at RBC Securities, Inc. with 15 years of industry experience. He holds the Series 66 designation and has previously worked at City National Securities, Inc., U.S. Bancorp Investments, Inc., and US Bank. 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’s investment management is provided by an affiliated sub-advisor, RBC Rochdale, which constructs asset allocation strategies and manages portfolios using mutual funds, ETFs, and individual securities.
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