Richard Joseph Barton
Chief Compliance OfficerRBC Securities, Inc.CRD 2040869
About Richard Joseph Barton
Richard Joseph Barton is listed as Chief Compliance Officer at RBC Securities, Inc. in Los Angeles, CA. Form ADV reports a beneficial ownership band of Under 5%.
Reported ownership
Owns Under 5% of RBC Securities, Inc.
Ownership band reported on Form ADV Schedule A
Frequently asked questions
Where does Richard Joseph Barton work?
Richard Joseph Barton is listed as Chief Compliance Officer at RBC Securities, Inc. on SEC Form ADV.
How much of RBC Securities, Inc. does Richard Joseph Barton own?
Form ADV reports a beneficial ownership band of Under 5%.
RBC Securities, Inc.
| Title | Chief Compliance Officer |
| Ownership | Under 5% |
| Control person | Yes |
| Since | 2022 |