TrueAdvisor
TrueAdvisor
WA
WA

William Allford

RBC Capital Markets, LLC
38 Years of Experience
San Diego, CA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

William Allford is a registered investment advisor at RBC Capital Markets, LLC, based in San Diego, CA, with 38 years of industry experience. William 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.

RBC Capital Markets, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3777 advisors
IM Fee
Planning only
Assets Under Management
$310.4B

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.

One-Time Plan:$1,000 - $20,000
View Full SEC Brochure

Location

655 W. Broadway, Ste 1000, San Diego, CA, 92101-8485

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
October 2012
Customer Dispute
December 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William owns LiamFinn Inc. which does car restoration and sales, multiple rental properties, and FinnLiam Inc LLC for buying classic cars. He also serves on the board of directors for NSAC Alano Club, a non-profit recovery club, dedicating minimal time to each of these activities.

Employment History
Current Registrations
RBC Capital Markets, LLC
April 2016 - Present · 10 yrs 1 mo
RBC Capital Markets, LLC
April 2016 - Present · 10 yrs 1 mo
RBC Capital Markets, LLCBroker
April 2016 - Present · 10 yrs 1 mo
Previous Registrations
Raymond James Financial Services Advisors, INC
October 2012 - April 2016 · 3 yrs 6 mos
Raymond James Financial Services, INC.Broker
October 2012 - April 2016 · 3 yrs 6 mos
Wells Fargo Advisors Financial Network, LLC
October 2010 - October 2012 · 2 yrs
Wells Fargo Advisors Financial Network, LLCBroker
October 2010 - October 2012 · 2 yrs
Wells Fargo Advisors, LLC
January 2008 - October 2010 · 2 yrs 9 mos
Wells Fargo Advisors, LLCBroker
January 2008 - October 2010 · 2 yrs 9 mos
A. G. Edwards & Sons, INC.
November 2001 - January 2008 · 6 yrs 2 mos
A. G. Edwards & Sons, INC.Broker
November 2001 - January 2008 · 6 yrs 2 mos
Prudential Securities IncorporatedBroker
May 2000 - November 2001 · 1 yr 6 mos
Salomon Smith Barney INC.Broker
July 1993 - May 2000 · 6 yrs 10 mos
Lehman Brothers INC.Broker
November 1987 - July 1993 · 5 yrs 8 mos
State Registrations30 states
AZCACOCTDCDEFLGAHIIAIDLAMDMEMNMONCNHNJNMNVNYOHORPATXUTVAWAWY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
More financial advisors in San Diego, CA →All financial advisors in California →