RBC SECURITIES, INC.

CRD 103705File 801-71181

APPROVED

Retail clients

Custody

Disclosure events

Filing as of May 29, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$1.52B

Above cohort median (national)

Discretionary AUM

$1.52B

Clients

1,451

1,781 accounts

Employees

186

Above cohort median in CA

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: LARO
Registration date: Mar 22, 2010
Principal office: 555 SOUTH FLOWER STREET, 11TH FLOOR, LOS ANGELES, CA, 90071
Phone: 310-888-6400
Website: HTTP://WWW.CNB.COM

Assets & accounts

ADV Item 5F

Total regulatory AUM: $1.52B
Discretionary AUM: $1.52B
Non-discretionary AUM: $0
Discretionary accounts: 1,781
Non-discretionary accounts: 0
Total accounts: 1,781
AUM per client: $1.0M

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	82	$161.9M
Charitable organizations	25	$89.4M
High net worth individuals	337	$814.3M
Pension and profit sharing plans	52	$77.7M
Individuals (other than high net worth individuals)	955	$371.8M

Compensation & activities

ADV Items 5E, 5G

Compensation

Other
Other (described) — MUTUAL FUND FEES, BROKER FEES & TRANSACTION FEES
A percentage of assets under your management

Advisory activities

Financial planning services
Selection of other advisers
Portfolio management for businesses
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: Yes
Firm Custody Clients: Yes
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: Yes
Related Person Custody Securities: No

Disclosure events

ADV Item 11

Q11
Q11G
Q11C1
Q11C2
Q11C4
Q11C5
Q11D2
Q11D4
Q11D5
Q11E2
Q11E4
Q11H1A
Q11H1B

Filed changes

Date	Field	From	To
Aug 12, 2026	Registration	—	APPROVED

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.