Simon Rosenbaum
Investment adviser representative at RBC Capital Markets, LLC
19 yearsExperience
2 statesRegistered in
$310.4BFirm assets
49 yearsFirm in business
Are you Simon Rosenbaum? Claim your profile
Contact this firm
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
19 years in the industry.
- RBC Capital Markets, LLCJun 2026 to now
- Student At Baruch CollegeAug 2025 to May 2026
- Student At Baruch CollegeAug 2024 to Jun 2025
- RBC Wealth ManagementJul 2024 to Jun 2026
- Student At Baruch CollegeSep 2023 to Jun 2024
- RBC Wealth ManagementJul 2023 to Aug 2023
- StudentNov 2022 to Jun 2023
- RBC Wealth ManagementAug 2022 to Oct 2022
- StudentSep 2007 to Aug 2022
Exams passed
- Series 66 · Uniform Combined State Law2025
State registrations
Registered as an investment adviser representative in 2 states (TX, WA).
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
- 7611349
- Firm CRD
- 31194