Paul Westphal is a registered investment advisor at RBC Capital Markets, LLC, based in Mequon, WI, with 37 years of industry experience. Paul 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
Newport Square Building, 10528 N. Port Washington Road, Mequon, WI, 53092
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Paul owns a duplex in Milwaukee, spending minimal time maintaining the property. He also supports his wife's business, Ponytail Pals LLC, providing financial guidance and sales support for about 10-20% of his time, and serves on the board of directors for Milwaukee Rotary, a community non-profit, dedicating minimal time.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Robert W. Baird & CO. IncorporatedBroker
Robert W. Baird & CO. Incorporated
UBS Financial Services INC.
UBS Financial Services INC.Broker
Piper Jaffray & CO.
Piper Jaffray & CO.Broker
Salomon Smith Barney INC.Broker
Lehman Brothers INC.Broker
Pavek Investments INC.Broker
State Registrations36 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.