Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗

FINRA BrokerCheck SEC IAPD verified CRD# 103705 Grade B

RBC Securities, Inc — FINRA BrokerCheck Disciplinary Record

Corporation headquartered in Los Angeles, CA. 133 branch offices, 3 BrokerCheck disclosures.

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RBC Securities, Inc registration status — ACTIVE

Status100%ActiveTerminatedSuspendedCancelled
RBC Securities, Inc registration status — ACTIVE

The verdict

RBC Securities, Inc carries 3 BrokerCheck disclosures across 133 branch offices - light load for a large firm, earning a Grade B.

Grade B
Low disclosure intensity relative to firms of a similar size.
133
branch offices (large firm)
3
BrokerCheck disclosures
0.02
disclosures per office

PlainAdvisorCheck rating 4/5 — an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Branch offices

133 offices

FINRA: Medium firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

0.02 per office

3 ÷ 133 offices

RBC Securities, Inc vs. every disclosing firm

Disclosures per branch office — the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 95% of 438 disclosing firms

0–0: 97 disclosing firms (22%). This entry sits in this band. 0–1: 53 disclosing firms (12%). Above this entry. 1–1: 116 disclosing firms (26%). Above this entry. 1–1: 14 disclosing firms (3%). Above this entry. 1–1: 41 disclosing firms (9%). Above this entry. 1–2: 8 disclosing firms (2%). Above this entry. 2–2: 29 disclosing firms (7%). Above this entry. 2–2: 4 disclosing firms (1%). Above this entry. 2–2: 29 disclosing firms (7%). Above this entry. 2–3: 5 disclosing firms (1%). Above this entry. 3–3: 13 disclosing firms (3%). Above this entry. 3–3: 2 disclosing firms (0%). Above this entry. 3–3: 13 disclosing firms (3%). Above this entry. 3–4: 3 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (1%). Above this entry. 4–4: 1 disclosing firms (0%). Above this entry. 4–4: 4 disclosing firms (1%). Above this entry. 4–5: 1 disclosing firms (0%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 3
Arbitrations 0
Civil Events 0
Total 3

Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Disclosure Profile

RBC Securities, Inc's disclosure record, broken down by category and footprint.

Disclosures per office
0.02
Light load
Regulatory share
100%
of total disclosures
Size class
Large firm
133 branches

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Los Angeles, CA, 90071
Formed
11/03/1999
State of Formation
California
CRD Number
103705
SEC Number
52265

Verify at FINRA BrokerCheck

FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.

View on FINRA BrokerCheck ↗

What the Record Says About RBC Securities, Inc

RBC Securities, Inc (Corporation, CRD# 103705 · SEC# 52265 · Los Angeles, CA) operates 133 branch offices — a large firm (FINRA: medium), scope ACTIVE.

BrokerCheck shows 3 disclosures (about 0.02 per branch office): 3 regulatory, 0 arbitration, 0 civil. Letter grade B (4/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.

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Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

What does a grade of B mean for RBC Securities, Inc?
A grade of B reflects RBC Securities, Inc's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 3 total disclosures across 133 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does RBC Securities, Inc have?
RBC Securities, Inc has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is RBC Securities, Inc?
RBC Securities, Inc operates 133 branch offices and is classified by FINRA as a medium firm, registered in CA (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify RBC Securities, Inc's disciplinary record?
You can verify RBC Securities, Inc's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 103705. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid RBC Securities, Inc because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. RBC Securities, Inc carries 3 disclosures across 133 branch offices (about 0.02 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial