Wayne Rogers is a registered investment advisor at RBC Securities, INC., based in Los Angeles, CA, with 22 years of industry experience. Wayne operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,451 clients with $1.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
RBC Securities offers a wrap fee program where you pay a single bundled fee that covers portfolio management, transaction costs, and custodial services. The fee is based on the market value of your account.
For Moderate Growth & Income, Growth & Income, Capital Growth, and Aggressive Capital Growth strategies:
- 1.25% annually on the first $1,000,000
- 1.00% annually on assets over $1,000,000
For Diversified Fixed Income and Conservative Growth & Income strategies:
- 0.80% annually on the first $1,000,000
- 0.65% annually on assets over $1,000,000
There is a $500 minimum annual fee. These fees are negotiable in certain circumstances.
Location
2029 Century Park East, 1st Floor, Los Angeles, CA, 90067
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Wayne is a soccer referee for multiple organizations, including Orange County Soccer Referee's Association, Beach Cities Soccer Referees Association, and NOCRA. He dedicates a few hours per week to these activities.
Employment History
Current Registrations
RBC Securities, INC
RBC Securities, INC.
RBC Securities, INCBroker
Previous Registrations
TD Private Client Wealth LLC
TD Private Client Wealth LLCBroker
Hsbc Securities (USA) INC.Broker
J.P. Morgan Securities INC.Broker
Chase Investment Services CORP.Broker
First Republic Securities Company, LLCBroker
Bny Investment Center INC.Broker
State Registrations1 state
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.