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Konstantin Prives

RBC Securities, INC.
31 Years of Experience
New York, NY
5 DisclosuresBroker
View SEC Summary
View SEC Summary

Konstantin Prives is a registered investment advisor at RBC Securities, INC., based in New York, NY, with 31 years of industry experience. Konstantin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,451 clients with $1.5B in assets under management.

RBC Securities, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
123 advisors
Number of Clients
1,451 clients
Average Client Portfolio
$1.0M average
Assets Under Management
$1.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Minimum Annual Fee:$500
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.25%
$1M+1.00%

Rates shown are for growth-oriented strategies. Fixed income and conservative strategies charge 0.80% on the first $1M and 0.65% on amounts over $1M. Fees are negotiable in certain circumstances.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

400 Park Avenue,, 8th Floor, New York, NY, 10022

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History

Regulatory History (5)
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
January 2011
Customer Dispute
May 2008
Settled
Customer Dispute
April 2008
Settled
Customer Dispute
February 2008
Settled
Customer Dispute
March 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Konstantin is a Group Director Investments - Senior Vice President at New York Community Bancorp (NYCB) and its affiliate Flagstar Advisors, Inc. This investment-related activity commenced in June 2024 and requires weekly time, including during trading hours.

Employment History
Current Registrations
RBC Securities, INCBroker
March 2026 - Present · 7 mos
RBC Securities, INC
March 2026 - Present · 7 mos
RBC Securities, INC.
March 2026 - Present · 7 mos
Previous Registrations
Flagstar Advisors, INC.
March 2011 - March 2026 · 15 yrs
Flagstar AdvisorsBroker
March 2011 - March 2026 · 15 yrs
Hsbc Securities (USA) INC.
July 2006 - February 2011 · 4 yrs 7 mos
Hsbc Securities (USA) INC.Broker
April 2006 - February 2011 · 4 yrs 10 mos
Chase Investment Services CORP.
October 1997 - April 2006 · 8 yrs 6 mos
Chase Investment Services CORP.Broker
September 1996 - April 2006 · 9 yrs 7 mos
Chemical Investment Services CORP.Broker
April 1995 - September 1996 · 1 yr 5 mos
Commonwealth Equity Services, INC.Broker
February 1995 - April 1995 · 2 mos
State Registrations47 states
AKALARAZCACTDCDEFLGAIAIDILINKSKYLAMDMEMIMNMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
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.
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