James Sugay
James Sugay is a registered investment advisor at RBC Capital Markets, LLC, based in Walnut Creek, CA, with 17 years of industry experience. James 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
1331 North California Blvd., Suite 650, Walnut Creek, CA, 94596
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2016Other Business Activities
James is an officer and part owner of 325 Woodridge Way LLC, a vacation property. He dedicates minimal time to this activity.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
State Registrations13 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.