RBC Securities, Inc.
● SEC registered since 2010CRD 103705SEC# 801-71181Los Angeles, CA
Reg. AUM
$1.52B
Employees
186
Accounts
1,781
Location
Los Angeles, CA
RBC Securities, Inc. assets under management
RBC Securities, Inc. is an investment advisory firm registered with the SEC based in Los Angeles, CA. The firm has been registered since 2010. It reports $1.5 billion in regulatory assets under management and employs 186 people.
RBC Securities, Inc. owners & executives
10 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Gregg Giaquinto Control | Board Director | Under 5% | 2024 |
| Ivor Patrick O'Keeffe Control | Chief Operating Officer & Board Director | Under 5% | 2024 |
| Joby Swankutty Daniel Control | Board Director | Under 5% | 2024 |
| RBC USA Holdco Corporation Control | Owner | Over 75% | 2026 |
| Richard Joseph Barton Control | Chief Compliance Officer | Under 5% | 2022 |
| Santiago Avila Bretado | Vp & Chief Financial Officer | Under 5% | 2019 |
| Shawn David Riley Control | Board Director | Under 5% | 2024 |
| William John Jr Maguire Control | President & Chief Executive Officer | Under 5% | 2025 |
| RBC US Group Holdings LLC Control | Intermediate Holding Company For Rbc Subsidiaries In The U.s | Over 75% | 2018 |
| Royal Bank of Canada Control | Ultimate Owner | Over 75% | 2018 |
Frequently asked questions
How much does RBC Securities, Inc. manage?
RBC Securities, Inc. reports $1.5 billion in regulatory assets under management on its Form ADV.
How many employees does RBC Securities, Inc. have?
RBC Securities, Inc. reports 186 employees.
Where is RBC Securities, Inc. located?
RBC Securities, Inc. is based in Los Angeles, CA and has been SEC-registered since 2010.
Does RBC Securities, Inc. disclose fund performance?
RBC Securities, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 555 South Flower Street, 11th Floor, Los Angeles, CA 90071 |
| Phone | 310-888-6400 |
| Fax | 310-888-6388 |
| Office hours | 6:30 To 5:00 Pst |
| SEC region | Los Angeles Regional Office (LARO) |
| Discloses disciplinary history | Yes |
Regulatory AUM
$1.52B▼ 5%
Jan '25Form ADV, monthlyJul '26
How this firm compares
Regulatory AUMTop 26%
Larger than 74% of 16,306 advisers
EmployeesTop 4%
More than 96% of 16,824 advisers
Assets under management
$1.52Bregulatory AUM
Discretionary $1.52B