Richard Smalley is a registered investment advisor at RBC Capital Markets, LLC, based in Westport, CT, with 37 years of industry experience. Richard 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
285 Riverside Avenue, Suite 335, Westport, CT, 06880
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Morgan Stanley Dw INC.Broker
Lebenthal & CO., INC.Broker
Citicorp Financial Services,inc.Broker
State Registrations16 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.