Brad Baron
Brad Baron is a registered investment advisor at RBC Capital Markets, LLC, based in San Jose, CA, with 32 years of industry experience. Brad 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
99 Almaden Boulevard, Suite 300, San Jose, CA, 95113-1603
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Regulatory History (1)
Customer Dispute
July 2013Other Business Activities
Brad serves on the board of directors for four non-profit organizations: Via Rehabilitation, Financial Administrative Support Services, Catholic Community Foundation, and The Health Trust. He dedicates minimal time to each organization, focusing on board duties, governance, and committee work.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Sutro & CO. IncorporatedBroker
Baraban Securities, 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.