Rbc Securities, Inc.

Registered investment adviser · Los Angeles, CA · CRD #103705

Form ADV data as of 2026-09-01

Regulatory assets

$1.52 billion

Total accounts

1,781

Employees

186

Disclosure events

Firm details

Website: http://www.cnb.com
Telephone: 310-888-6400
SEC file number: 801-71181
Most recent Form ADV filing: 2026-05-29
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 12 disclosure questions answered Yes, covering 38 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm
Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
A court enjoined the firm in connection with investment-related activity (past 10 years)
A court found involvement in a violation of investment-related statutes or regulations

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.52 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$1.52 billion
Discretionary accounts	1,781
Non-discretionary accounts	0
Total accounts	1,781
Regulatory assets under management attributable to non-U.S. persons	$3.0 million

People

Total employees (excluding clerical)	186
Employees performing investment advisory functions (including research)	124
Employees who are registered representatives of a broker-dealer	183
Employees registered as investment adviser representatives with a state	116
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
Client funds and securities held in the firm's custody	$0
Clients for whom the firm has custody	0
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$1.48 billion
Clients for whom a related person has custody	1,492
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementOther

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorRegistered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchantBanking or thrift institutionTrust companyPension consultantReal estate broker or dealerSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	955	$371.8 million
High net worth individuals	337	$814.3 million
Pension and profit sharing plans (not the participants or government plans)	52	$77.7 million
Charitable organizations	25	$89.4 million
Corporations or other businesses not listed above	82	$161.9 million