David W Roth
Investment adviser representative at RBC Capital Markets, LLC
13 yearsExperience
2 statesRegistered in
$310.4BFirm assets
49 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
13 years in the industry.
- RBC Capital Markets, LLCMay 2023 to now
- City National BankJun 2023 to Jan 2025
- Morgan Stanley Private Bank, N.AJan 2015 to May 2023
- Morgan Stanley Private Bank, National AssociationJan 2015 to May 2023
- Morgan StanleyFeb 2013 to May 2023
Exams passed
- Series 66 · Uniform Combined State Law2008
State registrations
Registered as an investment adviser representative in 2 states (IN, TX).
RBC Capital Markets, LLC
$310.4BAssets managed
283,910Clients
3,838Advisers
49 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5472009
- Firm CRD
- 31194