RBC PRIVATE COUNSEL (USA) INC. of TORONTO, ON is an SEC-registered investment adviser (CRD 109648). Regulatory assets under management: $7.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Charities.
Showing 25 of 50 people.
| Name | Role | Location |
|---|---|---|
| David John Agnew | DIRECTOR, CHAIR & CO-PRESIDENT | — |
| Annica Elisabeth Karlsson | CHIEF COMPLIANCE OFFICER | — |
| Vijay Singh Parmar | DIRECTOR & CO-PRESIDENT | — |
| Michael Peter Scott | DIRECTOR & VICE-PRESIDENT | — |
| Faiza Marium Huq | CHIEF FINANCIAL OFFICER | — |
| Nadine Tinker | DIRECTOR | — |
| Martin-Pierre Boulianne | CORPORATE SECRETARY | — |
| Erica Russo | ASSISTANT CORPORATE SECRETARY | — |
| Om Shekhar Sangekar | CORPORATE SECRETARY | — |
| MCDONALD ERIC CRAIG | OFFICER & VICE-PRESIDENT; VICE-PRESIDENT; VICE PRESIDENT, RISK MANAGEMENT | — |
| REILLY JOSEPH EDWARD | DIRECTOR | — |
| TAFT JOHN GODFREY | DIRECTOR | — |
| WEBER EUGENE MICHAEL | CHAIRMAN AND DIRECTOR; DIRECTOR | — |
| ZAPRAS GINA | ASSISTANT CORPORATE SECRETARY; CORPORATE SECRETARY | — |
| AGNEW DAVID JOHN | DIRECTOR, CHAIR & CO-PRESIDENT; DIRECTOR & CO-PRESIDENT | — |
| HAMILTON JOHN MCCOY | DIRECTOR & CO-PRESIDENT | — |
| VAREY MATTHEW BRYAN | DIRECTOR | — |
| VINCE BRENDA JANET | DIRECTOR & CHAIRPERSON | — |
| PRATT MARK DOUGLAS | DIRECTOR | — |
| HUQ FAIZA MARIUM | CHIEF FINANCIAL OFFICER | — |
| FOUBERT DEBRA MARIE | CHIEF COMPLIANCE OFFICER | — |
| ROGERS RICHARD JAMES | DIRECTOR | — |
| KEELEY PATRICK BROOKS | DIRECTOR; DIRECTOR & CO-PRESIDENT | — |
| KARLSSON ANNICA ELISABETH | CHIEF COMPLIANCE OFFICER | — |
| BARON RONALD STEPHEN | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 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 ACCOUNTING CONTROLS SUFFICIENT TO PROVIDE REASONABLE ASSURANCE THAT TRA… | Final | $6.0M |
| 2022-03-01 | regulatory | MS. FAIRCLOUGH WAS ALLEGED TO HAVE CONTRAVENED THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) RULES, NAMELY THAT, (1) SHE ACTED AS A POA FOR A CLIENT BETWEEN JANUARY 2019 AND JULY 2020 CONTRARY TO RULE 43.2(5)(I), AND (2) SHE ACCEPTED A $50,000 GIFT FROM A CLIENT IN JANUARY 2019 C… | Final | $23K |
| 2019-08-23 | regulatory | FAILURE TO HAVE SUFFICIENT SUPERVISION AND CONTROLS IN ITS FX TRADING BUSINESS. | Final | $10.3M |
| 2012-11-15 | regulatory | THE ADVISORY AFFILIATE VIOLATED IIROC DEALER MEMBER RULE 38.4 BY FAILING TO ADEQUATELY SUPERVISE A REGISTERED REPRESENTATIVE ("RR") TO ENSURE THAT THE RR'S RECOMMENDATION TO HIS CLIENTS TO PURCHASE CERTAIN INVERSE EXCHANGE-TRADED FUNDS WAS SUITABLE FOR THOSE CLIENTS AND, AS A RESULT, THE ADVISORY AF… | Final | $20K |
| 2012-04-02 | civil | 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 |
Showing 15 of 27 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| TORONTO, ONTARIO | — | 61 | 416-974-3940 |
| CALGARY, ALBERTA | — | 56 | 403-299-7000 |
| VANCOUVER, BRITISH COLUMBIA | — | 54 | 604-257-7200 |
| TORONTO, ONTARIO | — | 45 | 416-842-3466 |
| NORTH YORK, ONTARIO | — | 38 | 416-733-5200 |
| RICHMOND HILL, ONTARIO | — | 38 | 905-764-3923 |
| VANCOUVER, BRITISH COLUMBIA | — | 34 | 604-665-6991 |
| MONTREAL, QUEBEC | — | 34 | 514-874-7222 |
| WINNIPEG, MANITOBA | — | 32 | 204-982-3450 |
| ETOBICOKE, ONTARIO | — | 29 | 416-231-6766 |
| MISSISSAUGA, ONTARIO | — | 28 | 905-897-8333 |
| LONDON, ONTARIO | — | 26 | 519-675-2000 |
| TORONTO, ONTARIO | — | 24 | 416-974-2746 |
| HALIFAX, NOVA SCOTIA | — | 23 | 902-424-1000 |
| OTTAWA, ONTARIO | — | 22 | 613-721-4670 |