Roger Stephens
Roger Stephens is a registered investment advisor at RBC Capital Markets, LLC, based in Los Angeles, CA, with 34 years of industry experience. Roger operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
555 S. Flower Street, Suite 810, Los Angeles, CA, 90071
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2009Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Morgan Stanley
UBS Financial Services INC.
UBS Financial Services INC.Broker
Associated Securities CORP.Broker
State Registrations29 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.