RBC SECURITIES, INC. of LOS ANGELES, CA is an SEC-registered investment adviser (CRD 103705). Regulatory assets under management: $1.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
Showing 25 of 31 people.
| Name | Role | Location |
|---|---|---|
| Gregg Giaquinto | BOARD DIRECTOR | — |
| Santiago Avila Bretado | VP, CFO; VP & CHIEF FINANCIAL OFFICER | — |
| Richard Joseph Barton | CHIEF COMPLIANCE OFFICER | — |
| Ivor Patrick O'Keeffe | BOARD DIRECTOR; CHIEF OPERATING OFFICER & BOARD DIRECTOR; PRESIDENT | — |
| Alma Delia Banuelos | BOARD MEMBER | — |
| Shawn David Riley | BOARD DIRECTOR | — |
| Joby Swankutty Daniel | BOARD DIRECTOR | — |
| David Matthew Terrell | SR. VICE PRESIDENT | — |
| Gregory Paul Francoeur | DIRECTOR | — |
| Rochelle Beth Levy | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | — |
| William John Jr Maguire | PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| MASLOW MICHELE CAROLE | CFO/FINOP/DIRECTOR | — |
| WEISS RICHARD ALAN | CHAIRMAN; DIRECTOR | — |
| KOZLEN VERNON CLARK | CHAIRMAN | — |
| FRANCOEUR GREGORY PAUL | DIRECTOR | — |
| NUNNELEE MICHAEL JOSEPH | PRESIDENT/CHAIRMAN; PRESIDENT/DIRECTOR | — |
| BALASZ JOHN III | SR. VICE PRESIDENT | — |
| MOONEY MARK PRESTON | VP CHIEF COMPLIANCE OFFICER | — |
| ORME ANTONY MARK | SENIOR VICE PRESIDENT | — |
| FREEMAN WILLIAM JAY | DIRECTOR | — |
| O'KEEFFE IVOR PATRICK | PRESIDENT | — |
| BRODY SCOTT NATHAN | CHIEF COMPLIANCE OFFICER/AML OFFICER | — |
| FRIES JULIANNE MARIE | SVP, CHIEF RISK OFFICER, WEALTH MAANGEMENT | — |
| DONOVAN BRIAN CHRISTOPHER | CHIEF COMPLIANCE OFFICER/AML OFFICER | — |
| HAUGEN JON ERIC | CCO / CROP / SROP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-01-31 | regulatory | THE OCC FOUND THAT THE BANK ENGAGED IN UNSAFE OR UNSOUND PRACTICES, INCLUDING ITS FAILURE TO ESTABLISH EFFECTIVE RISK MANAGEMENT AND INTERNAL CONTROLS. THIS FAILURE ALSO RESULTED IN NONCOMPLIANCE WITH 12 CFR PART 30, APPENDIX D, "OCC GUIDELINES ESTABLISHING HEIGHTENED STANDARDS FOR CERTAIN LARGE INS… | Final | $65.0M |
| 2023-11-02 | regulatory | FAILURE TO MAKE AND KEEP BOOKS, RECORDS, AND ACCOUNTS, WHICH, IN REASONABLE DETAIL, ACCURATELY AND FAIRLY REFLECT THE TRANSACTIONS AND DISPOSITIONS OF THE ASSETS OF THE ISSUER. FAILURE TO DEVISE AND MAINTAIN A SYSTEM OF INTERNAL ACCOUNT CONTROLS SUFFICIENT TO PROVIDE REASONABLE ASSURANCE THAT TRANSA… | Final | $6.0M |
| 2019-08-23 | regulatory | FAILURE TO HAVE SUFFICIENT SUPERVISION AND CONTROLS IN ITS FX TRADING BUSINESS | Final | $10.3M |
| 2014-10-27 | regulatory | CNS FAILED TO SUPERVISE A REGISTERED REPRESENTATIVE'S OUTSIDE BUSINESS ACTIVITY, PRIVATE SECURITIES TRANSACTIONS AND OUTSIDE ACCOUNTS. THE REPRESENTATIVE WAS EMPLOYED BY AN AFFILIATED RIA, WHILE ENGAGING IN THE ACTIVITY BUT CNS DID NOT ENSURE THAT THE ACTIVITY WAS PROPERLY DISCLOSED. CNS FAILED TO S… | Final | $250K |
| 2012-04-02 | regulatory | ROYAL BANK OF CANADA IS ALLEGED TO HAVE VIOLATED SECTION 4C(A) OF THE COMMODITY EXCHANGE ACT, AND COMMISSION REGULATION 1.38(A), BY KNOWINGLY ENTERING INTO PURCHASES AND SALES OF SINGLE STOCK FUTURES AND NARROW-BASED INDEX FUTURES CONTRACTS OPPOSITE ITS SUBSIDIARIES WITH THE EXPRESS OR IMPLIED UNDER… | Final | $35.0M |
| 2009-02-04 | regulatory | NASD RULES 2110, 2210, 2211, 3010 AND MSRB RULES G-17, G-21 AND G-27: RESPONDENT'S COMMUNICATIONS WITH THE PUBLIC, INCLUDING CUSTOMERS AND PROSPECTIVE CUSTOMERS, IN ITS MARKETING AND SALE OF AUCTION RATE SECURITIES (ARS) WAS NOT FAIR AND BALANCED AND DID NOT PROVIDE A SOUND BASIS FOR EVALUATING THE… | Final | $315K |
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| — | civil | — | — | — |