Thomas Prentice
Thomas Prentice is a registered investment advisor at RBC Capital Markets, LLC, based in Palm Desert, CA, with 46 years of industry experience. Thomas 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
74-199 El Paseo Drive, Suite 102, Palm Desert, CA, 92260-4148
Get directionsHistory
Regulatory History (3)
Customer Dispute
November 2025Customer Dispute
December 2000Customer Dispute
July 1996Other Business Activities
Thomas owns multiple rental properties and a ranch. He spends minimal time on these activities.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Paine, Webber, Jackson & Curtis INC.Broker
Blyth Eastman Dillon & CO. IncorporatedBroker
State Registrations20 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.