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CFP
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CFP

Thomas Bennett

RBC Securities, INC.
25 Years of Experience
Torrance, CA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Thomas Bennett is a CFP-designated registered investment advisor at RBC Securities, INC., based in Torrance, CA, with 25 years of industry experience. Thomas 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

3424 Carson Street, 1st Floor, Torrance, CA, 90503

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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
May 2023
Customer Dispute
March 2021
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
RBC Securities, INC.
June 2025 - Present · 1 yr 4 mos
RBC Securities, INC
June 2025 - Present · 1 yr 4 mos
RBC Securities, INCBroker
June 2025 - Present · 1 yr 4 mos
Previous Registrations
Horter Investment Management, LLC
December 2023 - May 2025 · 1 yr 5 mos
Unionbanc Investment Services, LLCBroker
May 2014 - June 2023 · 9 yrs 1 mo
Unionbanc Investment Services, LLC
May 2014 - June 2023 · 9 yrs 1 mo
Saybrus Equity Services, INCBroker
September 2013 - March 2014 · 6 mos
Bancwest Investment Services, INC.Broker
June 2013 - September 2013 · 3 mos
Bancwest Investment Services, INC. (bwis) and Bwis D/b/a Fhis
June 2013 - September 2013 · 3 mos
New England Securities Corporation
August 2012 - May 2013 · 9 mos
New England SecuritiesBroker
July 2012 - May 2013 · 10 mos
Primevest Financial Services, INC.
July 2005 - June 2012 · 6 yrs 11 mos
Primevest Financial Services, INC.Broker
July 2005 - June 2012 · 6 yrs 11 mos
Citicorp Investment ServicesBroker
February 2003 - April 2005 · 2 yrs 2 mos
Cal Fed InvestmentsBroker
March 2001 - February 2003 · 1 yr 11 mos
American Express Financial Advisors INC.Broker
June 2000 - February 2001 · 8 mos
Ids Life Insurance CompanyBroker
June 2000 - February 2001 · 8 mos
State Registrations48 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSLAMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
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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