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RBC Securities, Inc.
RBC Securities, Inc. is an SEC-registered investment adviser in Los Angeles, CA, registered since 2010. The firm manages approximately $1.5 billion in...
RBC Securities, Inc.
RBC Securities, Inc. is an SEC-registered investment adviser in Los Angeles, CA, registered since 2010. The firm manages approximately $1.5 billion in regulatory assets. It has 186 employees and 124 investment advisers.
General information
Firm type
Asset Manager
Location
Region
North America
Country
United States
Corporate office
United States
Frequently asked questions
How does RBC Securities differentiate itself from US-based investment banks?
RBC Securities leverages its parent company's strong credit rating and cross-border expertise to serve clients with Canadian or international needs. Its Canadian regulatory oversight provides a complementary alternative to US-centric banks, while its US licenses enable it to compete directly for domestic mandates.
Does RBC Securities manage capital for external institutional clients or only for Royal Bank of Canada?
RBC Securities serves external institutional clients, including pension funds, endowments, and hedge funds, through its brokerage and advisory services. It also distributes research and trade execution to third-party asset managers in the US and Canada.
What is the relationship between RBC Securities and Royal Bank of Canada?
RBC Securities is a wholly owned subsidiary of Royal Bank of Canada and functions as the US registered broker-dealer within the RBC Capital Markets global platform. It is subject to US securities regulations while benefiting from the bank's broader balance sheet and credit support.
Which sectors does RBC Securities focus on for its investment banking coverage?
The firm covers a broad range of sectors including energy, financials, technology, healthcare, and industrials, with particular strength in Canadian energy and mining due to its geographic heritage. Its sector teams work closely with the bank's research analysts.
What is RBC Securities' role in fixed income markets?
RBC Securities is a primary dealer in US government securities and a leading provider of fixed-income trading and underwriting for corporate bonds, municipal bonds, and structured products. It ranks among the top dealers in Canadian dollar fixed income globally.
Has RBC Securities experienced any recent regulatory actions?
As a regulated broker-dealer under the SEC and FINRA, RBC Securities is subject to routine examinations and enforcement actions. No material recent public enforcement action is widely reported as of mid-2025 beyond standard industry compliance matters.
Where is RBC Securities headquartered and what is its office footprint?
The firm's principal US office is in New York City, with additional offices in Boston, Chicago, and San Francisco. Internationally, it operates through RBC Capital Markets hubs in London, Hong Kong, and Sydney.
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